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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Howard Tate | 1094496 | 5 | 11/09/1999 | Customer Dispute | Settled | $18,812.50 | $0.00 | See FINRA Report |
| Ronald William Fox | 1219273 | 11 | 10/18/1999 | Customer Dispute | Award / Judgment | $78,325.00 | $22,000.00 | See FINRA Report |
| Dean Andrew Bahniuk | 2418525 | 3 | 10/07/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce David Hammer | 235193 | 1 | 09/10/1999 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Charles Edward Roden | 402187 | 2 | 08/19/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Marshall | 2645278 | 2 | 08/18/1999 | Customer Dispute | Closed-No Action | $58,000.00 | $0.00 | See FINRA Report |
| Larissa Anna Poindexter | 1298572 | 1 | 08/10/1999 | Customer Dispute | Denied | $10,581.00 | $0.00 | See FINRA Report |
| Stella Ma Desantis | 2621705 | 7 | 08/02/1999 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Eric Brian Rosenberg | 1027041 | 6 | 07/16/1999 | Customer Dispute | Settled | $12,600.00 | $0.00 | See FINRA Report |
| Demos Argyros | 1325219 | 6 | 07/12/1999 | Customer Dispute | Award / Judgment | $188,016.00 | $56,500.00 | See FINRA Report |