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 |
|---|---|---|---|---|---|---|---|---|
| Michael Howard Rosenmayer | 2352488 | 20 | 10/18/2000 | Customer Dispute | Settled | $53,000.00 | $0.00 | See FINRA Report |
| James Langwith Manion | 1034366 | 2 | 10/02/2000 | Customer Dispute | Denied | $170,000.00 | $0.00 | See FINRA Report |
| Lawrence R Wilkes | 467113 | 2 | 09/29/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Elliot Fine | 1398447 | 9 | 09/08/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Martin Joseph Bannon | 729021 | 3 | 09/05/2000 | Customer Dispute | Settled | $1,913,080.00 | $0.00 | See FINRA Report |
| David Alexander Hertl | 2154822 | 5 | 08/31/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leonard Joseph Silvester | 2196632 | 4 | 08/29/2000 | Customer Dispute | Denied | $15,285.10 | $0.00 | See FINRA Report |
| Jerald Jay Hymen | 1379370 | 6 | 08/23/2000 | Customer Dispute | Denied | $42,398.00 | $0.00 | See FINRA Report |
| Martin Joseph Bannon | 729021 | 3 | 07/28/2000 | Customer Dispute | Settled | $3,571,850.00 | $0.00 | See FINRA Report |
| Michael J Squellati | 2720722 | 5 | 07/10/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |