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 |
|---|---|---|---|---|---|---|---|---|
| Brian Joseph Walsh | 712161 | 4 | 11/18/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Hernan Vatterott | 1263265 | 2 | 11/11/1994 | Customer Dispute | Settled | $71,039.00 | $0.00 | See FINRA Report |
| Robert Bruce Hord | 830170 | 3 | 11/11/1994 | Customer Dispute | Settled | $53,916.00 | $0.00 | See FINRA Report |
| Louis Aloysius Conyard | 1352456 | 2 | 11/08/1994 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Jeffrey Sy Rubenstein | 850152 | 8 | 11/03/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gail F Perrymason | 1843678 | 8 | 11/01/1994 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| David Jerome Naert | 1532335 | 3 | 10/26/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bruce Harvey Olephant | 1219613 | 5 | 10/14/1994 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Bill Michael Friedrich | 3208059 | 7 | 10/10/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Walsh | 712161 | 4 | 10/07/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |