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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Scott Shulman | 1091024 | 5 | 01/05/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bill Michael Friedrich | 3208059 | 7 | 12/22/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bill Michael Friedrich | 3208059 | 7 | 12/19/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bill Michael Friedrich | 3208059 | 7 | 12/15/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Shulman | 1091024 | 5 | 12/08/1994 | Customer Dispute | Award / Judgment | $0.00 | $310,000.00 | See FINRA Report |
| Bill Michael Friedrich | 3208059 | 7 | 11/28/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |