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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Sy Rubenstein | 850152 | 8 | 07/28/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Inna Anderson | 1321744 | 1 | 05/21/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Herbert Spencer Thornton | 1218939 | 3 | 05/16/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey David Clark | 1893501 | 3 | 03/15/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Fred Berens | 18877 | 7 | 12/31/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Sy Rubenstein | 850152 | 8 | 09/11/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stuart N Schwartz | 2596156 | 1 | 04/08/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Keith Sullivan | 439634 | 1 | 07/21/1972 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Meinke Kuhn | 836837 | 1 | 10/01/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |