Articles Tagged with Oppenheimer & Co. Inc.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Savoy (Savoy), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Savoy 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 $50,000.00  on July 06, 2020.

Allegations of breach of contract, unsuitability, beach of fiduciary duty and professional negligence from approximately 2013 to Sep 2017.

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.

Cause of action is breach of fiduciary duties, related to an allegation that the Registered Representative failed to ascertain the scope of authority granted by Claimant in a Power of Attorney to a third-party, in connection with Claimant’s account. Time Period – 12/1/2016 to  7/1/2019

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Krumrey (Krumrey), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Krumrey 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 $300,000.00  on April 02, 2020.

Claimants allege claims for breach of fiduciary duty, negligence and breach of contract in connection with the management of their account.From 1/1/2016 – 12/31/2017

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

FINRA BrokerCheck shows a settled customer complaint on April 20, 2020.

Client alleges investments were not fully explained and were unsuitable between November 2012 and March 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Krumrey (Krumrey), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Krumrey 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 $300,000.00  on April 02, 2020.

Claimants allege claims for breach of fiduciary duty, negligence and breach of contract in connection with the management of their account.From 1/1/2016 – 12/31/2017

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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 one disclosable event. These events include one customer complaint, 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 November 19, 2025.

Complainant alleges that financial advisor gave poor advice in connection with the timing of selling an investment. From 11/1/2025 to 11/17/2025.

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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 2 disclosable events. These events include 2 customer complaints, alleging that D’ascoli 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 $850,000.00 on January 22, 2026.

Claimant alleges he suffered losses due to his investment in two fixed income funds, and alleges claims for negligence, breach of contract, breach of fiduciary duty and violations of federal and FINRA regulations. 2013 – 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alberto Roditi (Roditi), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Roditi 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 $2,000,000.00 on February 20, 2024.

Plaintiffs alleged that they were not sufficiently informed of risks of positions following losses during March of 2020, that IAR was not sufficiently supervised, and that exceeding maximum drawdown objectives constituted a breach of contract.

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

FINRA BrokerCheck shows a settled customer complaint on April 20, 2020.

Client alleges investments were not fully explained and were unsuitable between November 2012 and March 2020

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

FINRA BrokerCheck shows a settled customer complaint on April 20, 2020.

Client alleges investments were not fully explained and were unsuitable between November 2012 and March 2020

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