Our Staff has compiled our research into a database of FINRA Broker Disclosures for Oppenheimer & Co. Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ralph Kevin Crovo | 871247 | 1 | 11/09/2001 | Customer Dispute | Award / Judgment | $1,231,620.00 | $280,000.00 | See FINRA Report |
| Dean Andrew Bahniuk | 2418525 | 3 | 10/24/2001 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Eric Robert Bartok | 2380133 | 5 | 10/17/2001 | Customer Dispute | Award / Judgment | $100,000.00 | $77,262.80 | See FINRA Report |
| Maurice Gordon Stuffmann | 439058 | 3 | 09/26/2001 | Customer Dispute | Settled | $180,079.00 | $0.00 | See FINRA Report |
| Darryl Jadwick Lynch | 1313519 | 3 | 09/25/2001 | Customer Dispute | Denied | $23,700.00 | $0.00 | See FINRA Report |
| Lance Gordon Rounds | 2855963 | 2 | 09/25/2001 | Customer Dispute | Settled | $23,700.00 | $0.00 | See FINRA Report |
| Stuart Hamilton Whitlock | 465725 | 3 | 09/18/2001 | Customer Dispute | Settled | $3,432,910.00 | $0.00 | See FINRA Report |
| Jeff David Neely | 2258672 | 1 | 09/13/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick James Hudec | 1534203 | 3 | 09/04/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald William Fox | 1219273 | 11 | 09/01/2001 | Customer Dispute | Settled | $107,000.00 | $0.00 | See FINRA Report |