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 |
|---|---|---|---|---|---|---|---|---|
| Steven R Baaden | 1266766 | 8 | 08/01/1988 | Customer Dispute | Award / Judgment | $0.00 | $5,465.00 | See FINRA Report |
| Peter Navaretta | 1209313 | 2 | 06/14/1988 | Customer Dispute | Award / Judgment | $12,067.70 | $3,300.00 | 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 |
| Thomas Valeo | 452290 | 2 | 08/27/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Hoctor | 855965 | 1 | 08/11/1987 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Robert Richard Walsh | 722847 | 1 | 06/10/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Alan Math | 1815937 | 3 | 11/25/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Michael Legg | 712395 | 1 | 06/26/1985 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |