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 |
|---|---|---|---|---|---|---|---|---|
| Serafin Paed Aquino | 1603285 | 4 | 08/30/2001 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |
| John Patrick Harrington | 237655 | 6 | 08/14/2001 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 20 | 08/09/2001 | Customer Dispute | Settled | $68,474.00 | $0.00 | See FINRA Report |
| Alexander Lanzman | 2878438 | 2 | 08/07/2001 | Customer Dispute | Withdrawn | $34,669.80 | $0.00 | See FINRA Report |
| Daniel Preston Findley | 2824069 | 1 | 07/23/2001 | Customer Dispute | Denied | $208,360.00 | $0.00 | See FINRA Report |
| Ernest Sean Mishne | 2091091 | 4 | 07/23/2001 | Customer Dispute | Award / Judgment | $525,000.00 | $275,000.00 | See FINRA Report |
| John Howard Kay | 1298675 | 2 | 06/28/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Stella Ma Desantis | 2621705 | 7 | 06/18/2001 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Robert John Murphy | 1226620 | 4 | 06/11/2001 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| David Brian Schaum | 1099016 | 5 | 06/06/2001 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |