Oppenheimer & Co. Inc.

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.

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

January 6, 2026 | by Staff Attorney

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 allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $181,500.00 on October 24, 2025.

Claimant-beneficiary of a non-party client-trust asserts that Respondents were negligent and aided the trustee of the client-trust in embezzling funds from the client-trust, as well as failing to provide information requested by claimant. From 1/11/2024 to 10/23/2025

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

December 29, 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 28, 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 Mark Hovanic in Firm Oppenheimer & CO. INC.

December 19, 2025 | by Staff Attorney

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 allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $181,500.00 on October 24, 2025.

Claimant-beneficiary of a non-party client-trust asserts that Respondents were negligent and aided the trustee of the client-trust in embezzling funds from the client-trust, as well as failing to provide information requested by claimant. From 1/11/2024 to 10/23/2025

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.