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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Iovino | 1393469 | 7 | 05/23/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos Bergouignan-Sotolongo | 3242266 | 1 | 04/28/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Paul Chinn | 1326314 | 2 | 04/14/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Daniel Tully | 870889 | 2 | 04/12/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Johnson | 2434723 | 1 | 02/28/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven R Baaden | 1266766 | 9 | 02/14/1994 | Customer Dispute | Settled | $259,312.00 | $0.00 | See FINRA Report |
| Guy Robert Presutti | 1196621 | 4 | 12/02/1993 | Customer Dispute | Settled | $230,006.00 | $0.00 | See FINRA Report |
| George Mardyks | 1047645 | 3 | 11/29/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald William Fox | 1219273 | 11 | 10/15/1993 | Customer Dispute | Award / Judgment | $345,795.00 | $340,000.00 | See FINRA Report |
| Alan Robert Riffle | 1742904 | 2 | 10/13/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |