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 |
|---|---|---|---|---|---|---|---|---|
| Wallace McRae Davis | 1532144 | 3 | 03/23/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Charles Sidney Sloane | 426464 | 3 | 02/24/1999 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Riley Marie Rogers | 2425642 | 1 | 02/22/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Edward Primavera | 367913 | 2 | 01/15/1999 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Bruce Alan Hartzmark | 1106323 | 2 | 01/14/1999 | Customer Dispute | Settled | $43,600.00 | $0.00 | See FINRA Report |
| Ralph Louis Yovane | 1886432 | 1 | 01/13/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Elliot Fine | 1398447 | 9 | 01/13/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig Ernst Chapman | 2736738 | 1 | 01/08/1999 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Peter Andre Venzara | 1565357 | 3 | 12/28/1998 | Customer Dispute | Pending | $41,667.00 | $0.00 | See FINRA Report |
| Henry Edward Levin | 307771 | 3 | 12/14/1998 | Customer Dispute | Denied | $378,000.00 | $0.00 | See FINRA Report |