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 |
|---|---|---|---|---|---|---|---|---|
| Demos Argyros | 1325219 | 6 | 11/02/1988 | Customer Dispute | Award / Judgment | $50,000.00 | $1,436.00 | See FINRA Report |
| Paul J Colligan | 1611890 | 4 | 11/01/1988 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Paul J Colligan | 1611890 | 4 | 10/05/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bruce Harvey Olephant | 1219613 | 5 | 10/04/1988 | Customer Dispute | Award / Judgment | $21,000.00 | $10,560.90 | See FINRA Report |
| Austin Whitney Verity | 2180858 | 2 | 08/07/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven R Baaden | 1266766 | 9 | 08/01/1988 | Customer Dispute | Award / Judgment | $0.00 | $5,465.00 | See FINRA Report |
| Raymond Martin Faupel | 205131 | 1 | 05/01/1988 | Customer Dispute | Settled | $229,000.00 | $0.00 | See FINRA Report |
| Joseph Patrick Popp | 717221 | 6 | 03/13/1988 | Customer Dispute | Award / Judgment | $230,046.00 | $162,000.00 | See FINRA Report |
| Rachel Sydney Richwine | 2263925 | 1 | 12/17/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregg William Whelan | 1192743 | 6 | 11/30/1987 | Customer Dispute | Settled | $113,000.00 | $0.00 | See FINRA Report |