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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Howard Tate | 1094496 | 5 | 01/01/1990 | Customer Dispute | Settled | $272,000.00 | $0.00 | See FINRA Report |
| Kenneth John Murphy | 1659955 | 2 | 10/13/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Harvey Olephant | 1219613 | 5 | 09/21/1989 | Customer Dispute | Award / Judgment | $15,000.00 | $6,960.20 | See FINRA Report |
| Thomas Valeo | 452290 | 2 | 09/11/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Jerome Naert | 1532335 | 3 | 07/06/1989 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| 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 |