According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julia Flores (Flores), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Flores recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony D’ascoli (D’ascoli), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that D’ascoli recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Stames (Stames), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Stames recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Woods (Woods), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Woods recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Allan Snider (Snider), previously associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Snider concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hovanic (Hovanic), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Hovanic recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Woods (Woods), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Woods recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Allan Snider (Snider), previously associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Snider concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Fellows (Fellows), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Fellows recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Larry Schwartzman (Schwartzman), currently associated with Oppenheimer & CO. INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Schwartzman concern allegations of high frequency trading…