Articles Tagged with Oppenheimer & Co. Inc.

| by

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 allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on September 01, 2022.

The customer alleges that a misrepresentation was made regarding the purchase of a variable annuity in 2007.

Continue Reading

| by

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 activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on October 06, 2022.

Customer asserts claims for unsuitability, breach of fiduciary duty, churning and excessive trading, unauthorized trading and violation or FINRA and securities laws and regulations. 10/2018 – 10/2022.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julie Jones (Jones), previously associated with Oppenheimer & CO. INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Jones recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $580,000.00 on January 18, 2023.

Claimants allege John Woods, James Woods, Michael Mooney, Iris Israel and Julie Jones conducted a Ponzi Scheme. From 2013-2021.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Pescatore (Pescatore), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Pescatore recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on August 18, 2025.

Claimants alleges Oppenheimer permitted unauthorized change of beneficiary upon death of customer and alleges claims for breach of fiduciary duty, breach of contract, negligence, violation of FINRA Rules and negligent supervision. From 01/2020 – 12/2020

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John 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 allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $103,000.00 on August 26, 2025.

Fraud; Aiding and Abetting Breach of Fiduciary Duty; Aiding and Abetting Fraud; Breach of Fiduciary Duty. From 2008 to 2016.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Valentine (Valentine), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Valentine recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $40,000.00 on August 26, 2025.

TRUSTEE ALLEGES THAT UNAUTHORIZED TRANSACTIONS HAVE TAKEN PLACE IN THE ACCOUNT FROM DECEMBER 2023 THROUGH THE PRESENT

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Abreu (Abreu), currently associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Abreu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 01, 2023.

The customer alleges unauthorized trades in October 2022.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guy Presutti (Presutti), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Presutti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,450,000.00 on March 01, 2023.

Claimant alleges he summered loses as result of an unsuitable investment and alleges claims for breach of fiduciary duty, negligence, fraud, breach of contract, third-party beneficiary breach of contract, violation of state states securities laws and Regulation BI. From 7/1/2021 – 8/30/2022.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Pratt (Pratt), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Pratt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 07, 2023.

Client alleges unauthorized trading in her accounts as of 3/6/2023, requests reimbursement of all Margin Interest charges.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Iglow (Iglow), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Iglow recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $231,826.00 on March 29, 2023.

Claimants allege Negligence/Unsuitability, Violations of California Securities Law, Violations of FINRA Rules & Federal Securities Laws, Breach of Contract, Negligent Supervision, Respondent Superior, and Breach of Contract based on misrepresentations and omissions in connection with purchases of Capital Trust Agency Florida Senior Living Bonds in 2019 and 2020

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design