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 |
|---|---|---|---|---|---|---|---|---|
| James Allen Walker | 1085374 | 2 | 07/05/1995 | Customer Dispute | Award / Judgment | $275,000.00 | $25,000.00 | See FINRA Report |
| Kevin Mark Kosakevitch | 2853695 | 1 | 06/16/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Phillip Anthony | 1811812 | 3 | 04/26/1995 | Customer Dispute | Settled | $3,800,000.00 | $0.00 | See FINRA Report |
| Scott Shulman | 1091024 | 5 | 03/28/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald William Fox | 1219273 | 11 | 03/23/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James George Stames | 815044 | 1 | 03/13/1995 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |
| Mark Allen Frommer | 1553129 | 6 | 03/07/1995 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Ernest Sean Mishne | 2091091 | 4 | 03/03/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bill Michael Friedrich | 3208059 | 7 | 02/27/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Andrew Allen | 2764225 | 1 | 01/19/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |