Oppenheimer & Co. Inc.

There are Recent Customer Complaints with Broker David Burke in Firm Oppenheimer & CO. INC.

March 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 29, 2021.

Customer asserts claims for breach of contract, fraud, breach of fiduciary duty, negligence, gross negligence, misrepresentation, unjust enrichment and violation of state securities and consumer protection statues in connection with his option investments. From 1/1/2013 to 12/31/2020.

There are Recent Customer Complaints with Broker Steven Baaden in Firm Oppenheimer & CO. INC.

March 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Customer asserts claims for unsuitability, fraud, breach of contract and breach of fiduciary duty in connection with his investments.From 4/1/2014 to Present

There are Recent Customer Complaints with Broker Daniel Mittag in Firm Oppenheimer & CO. INC.

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Mittag (Mittag), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Mittag 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 $450,000.00 on February 08, 2021.

Claimant asserts claims of breach of fiduciary duty, unsuitability, violations of finra rules, violation of section 10b of the exchange act, negligent misrepresentations, violations of 93a m.g.l. S.9, failure to supervise and negligent supervision arising from allegedly unsuitable investments and excessive trading in her account. From 2013 to 2020.

There are Recent Customer Complaints with Broker Harvey Ross in Firm Oppenheimer & CO. INC.

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harvey Ross (Ross), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Ross 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 $710,695.00 on March 16, 2021.

Customer asserts claims for breach of fiduciary duty, breach of contract and\, negligence in connection with investments in discretionary account. 1/1/2017 to 12/31/2020.

Broker Mark Frommer in Oppenheimer & CO. INC. Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 01, 2021.

Claimant alleges, inter alia, unsuitability with respect to investments and liquidity access line – 2013 through 2016.

There are Recent Customer Complaints with Broker Morton Tinkelman in Firm Oppenheimer & CO. INC.

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morton Tinkelman (Tinkelman), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Tinkelman 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 $55,245.00 on April 12, 2021.

Failure to follow instructions

Broker Toni Nieves in Oppenheimer & CO. INC. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Toni Nieves (Nieves), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Nieves 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 $200,000.00 on April 23, 2021.

Claimant alleges a failure to liquidate securities was unsuitable and resulted in losses. March 2020 to April 2020

Broker Jeffrey Warren in Oppenheimer & CO. INC. Firm Has Customer Complaint

February 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on May 28, 2021.

Without admitting or denying the findings, Warren consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation into a gift that he received from a former customer of his member firm. The findings stated that this matter arose out of a complaint from a beneficiary of the deceased customer regarding the gift the customer provided to Warren prior to the customer’s death.

There are Recent Customer Complaints with Broker Julia Flores in Firm Oppenheimer & CO. INC.

January 24, 2026 | by Staff Attorney

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 allegations and complaints.

FINRA BrokerCheck shows a final customer complaint with a damage request of $20,000.00 on September 16, 2021.

CLIENT CLAIMS THAT HE WAS LOCKED OUT OF THE ACCOUNT AND UNABLE TO PLACE TRADES FROM FEBRUARY 1-3-2021.THE VALUE OF THE ACCOUNT DROPPED BY $20,000 DURING THAT TIME PERIOD. MARGIN CALLS INITIATED BY APEX WERE IMPROPER AND BASE ON INACCURATE CALCULATIONS OF THE BUYING POWER AND EQUITY IN THE ACCOUNT AND HE WAS UNABLE TO TRANSFER FUNDS FROM THE ACCOUNT TO A BANK ACCOUNT RESULTING IN HIS INABILITY TO PAY CERTAIN BILLS ON TIME.

Broker Anthony D’ascoli in Oppenheimer & CO. INC. Firm Has Customer Complaint

January 8, 2026 | by Staff Attorney

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 allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 14, 2023.

Claimants allege they suffered losses as a result of unsuitable investments and allege claims for breach of fiduciary duty, negligence, negligent misrepresentation and breach of contract. From 7/1/2021-9/20/2022.