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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Alan Jaffe | 1340770 | 8 | 03/17/2020 | Customer Dispute | Denied | $79,000.00 | $0.00 | See FINRA Report |
| Eddy Joseph Gutierrez | 2247435 | 2 | 03/12/2020 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| Peter Henry Wagner | 1003080 | 5 | 03/02/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Morgan Constance Newman | 5379408 | 1 | 03/02/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gail F Perrymason | 1843678 | 8 | 02/28/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Lee Johnson | 1881590 | 1 | 02/21/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Demos Argyros | 1325219 | 6 | 01/24/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ernest Sean Mishne | 2091091 | 4 | 01/20/2020 | Customer Dispute | Award / Judgment | $440,000.00 | $220,542.00 | See FINRA Report |
| Alberto Castaner | 1603341 | 9 | 01/08/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Edward Lee Winokur | 2979697 | 2 | 12/09/2019 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |