Oppenheimer & Co. Inc.

There are Recent Customer Complaints with Broker James Woods in Firm Oppenheimer & CO. INC.

December 13, 2025 | by Staff Attorney

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 allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $6,989,702.00 on December 28, 2021.

Woods was a subject of the customers’ complaint against his member firm that asserted the following causes of action: violations of FINRA Rules; breach of fiduciary duty; aiding and abetting breach of fiduciary duty; breach of contract and breach of the duty of good faith and fair dealing; unlawful sales of securities; and respondeat superior/agency by estoppel liability.

Broker Allan Snider in Oppenheimer & CO. INC. Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on January 06, 2022.

Claimant alleged unsuitable investments, breach of fiduciary duty, failure to supervise, breach of contract, misrepresentations, over-concentration, excessive trading and unauthorized trading. Not specified, but account open 2011-2021

There are Recent Customer Complaints with Broker George Fellows in Firm Oppenheimer & CO. INC.

November 7, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Larry Schwartzman in Firm Oppenheimer & CO. INC.

November 5, 2025 | by Staff Attorney

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.

Broker Julie Jones in Oppenheimer & CO. INC. Firm Has Customer Complaint

October 20, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker John Pescatore in Firm Oppenheimer & CO. INC.

October 11, 2025 | by Staff Attorney

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

Broker John Woods in Oppenheimer & CO. INC. Firm Has Customer Complaint

October 9, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker William Valentine in Firm Oppenheimer & CO. INC.

October 9, 2025 | by Staff Attorney

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

Broker Luis Abreu in Oppenheimer & CO. INC. Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

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.

Broker Guy Presutti in Oppenheimer & CO. INC. Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

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.