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 |
|---|---|---|---|---|---|---|---|---|
| Gregory James Miller | 1043259 | 4 | 08/01/1984 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| William Dean Vanech | 1107791 | 5 | 04/03/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Fred Berens | 18877 | 7 | 01/20/1984 | Customer Dispute | Award / Judgment | $0.00 | $2,500.00 | See FINRA Report |
| Nelson Mahan Kelly | 1795855 | 1 | 05/12/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Guy Robert Presutti | 1196621 | 4 | 05/01/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Edward Egan | 827876 | 1 | 07/26/1982 | Customer Dispute | Settled | $54,687.50 | $0.00 | See FINRA Report |
| Fred Berens | 18877 | 7 | 07/09/1982 | Customer Dispute | Settled | $2,012,290.00 | $0.00 | See FINRA Report |
| Robert Willard Finley | 207950 | 2 | 12/29/1980 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jitu G Somaya | 846167 | 2 | 10/30/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William John Vlahoulis | 1039742 | 6 | 06/01/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |