Clik here to view.
Lee Hartzmark Received Complaints of “Poor Judgement” Regarding a Customers...
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2017 indicate that Ohio-based Oppenheimer & Company broker Lee Hartzmark has received resolved...
View ArticleClik here to view.
David Feigeles Has Resolved or Pending Customer Disputes
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2017 indicate that New York-based Oppenheimer & Company broker/adviser David Feigeles has...
View ArticleClik here to view.
Angela Graham-West Allegedly Breached His Fiduciary Duty
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed and accessed on December 1, 2017 indicate that Florida-based Oppenheimer & Company...
View ArticleClik here to view.
Kenneth South Was Discharged Following Allegations of Rule Violations
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that California-based Oppenheimer & Company broker/adviser Kenneth South...
View ArticleClik here to view.
Gavin Natelli Was Terminated From a Former Employer
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that New Jersey-based Oppenheimer & Company broker/adviser Gavin Natelli has...
View ArticleClik here to view.
Jane Wasserstrom Discharged From Position at UBS Financial
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 31, 2018 indicate that former New York-based Oppenheimer & Company broker Jane Wasserstrom, who...
View ArticleClik here to view.
Thomas McCarthy: Puerto Rico Bonds Dispute
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Connecticut-based Oppenheimer & Company broker/adviser Thomas...
View ArticleClik here to view.
Demos Argyros: Investor Seeks $100,000 in Complaint Against Oppenheimer Rep
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Missouri-based Oppenheimer & Company broker/adviser Demos...
View ArticleClik here to view.
Update: Eric Rosenberg: Investor Seeks $157,000 in Complaint Against...
Public records provided by the Financial Industry Regulatory Authority (FINRA) on December 26, 2016 indicate that New York-based Oppenheimer & Company broker/adviser Eric Rosenberg has received...
View Article
