Oppenheimer & Co. Inc.

Broker Mark Reynolds in Oppenheimer & Co. Inc. Firm Has Customer Complaint

March 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Reynolds (Reynolds), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Reynolds 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 $865,072.00 on March 11, 2025.

ATTORNEY REPRESENTING THE TRUSTS ALLEGES THAT UNSUITABLE INVESTMENTS WERE MADE IN THE ACCOUNTS, AND THAT MISREPRESENTATIONS WERE MADE. TIME PERIOD APPEARS TO BE 2022-2024.

There are Recent Customer Complaints with Broker Jeffrey Werdesheim in Firm Oppenheimer & Co. Inc.

March 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Werdesheim (Werdesheim), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Werdesheim 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 $940,941.00 on September 03, 2024.

Negligence/unsuitability; Breach of Contract; Breach of Fiduciary Duty; Respondeat Superior; Negligent Supervision. From 2014 to 3/1/2024

There are Recent Customer Complaints with Broker John Woods in Firm Oppenheimer & Co. Inc.

March 14, 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 15 disclosable events. These events include 14 customer complaints, one tax lien, 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 on October 07, 2024.

Violation of FINRA rules; Violations of Georgia & NC Blue Sky Laws and RICO; Breach of Fiduciary Duty; Breach of the Duty of Good Faith & Fair Dealing; Breach of Contract; Respondeat Superior/Agency by Estoppel Liability; \, Ponzi Scheme. From 2013 to 2016.

Broker Iris Israel in Oppenheimer & Co. Inc. Firm Has Customer Complaint

March 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Iris Israel (Israel), previously associated with Oppenheimer & Co. Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Israel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 07, 2024.

Violation of FINRA rules; Violations of Georgia & NC Blue Sky Laws and RICO; Breach of Fiduciary Duty; Breach of the Duty of Good Faith & Fair Dealing; Breach of Contract; Respondeat Superior/Agency by Estoppel Liability; Ponzi Scheme. From 2013 to 2016.

There are Recent Customer Complaints with Broker Randy Moshtael in Firm Oppenheimer & Co. Inc.

March 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Moshtael (Moshtael), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Moshtael 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 $400,000.00 on October 15, 2024.

Failure to maintain/handle account based on Complainant’s instructions to not let value of the account fall below $250k; excessive commission charges. From 8/1/2020 to 2/1/2022

There are Recent Customer Complaints with Broker Jerald Hymen in Firm Oppenheimer & Co. Inc.

March 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerald Hymen (Hymen), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Hymen 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 $38,066.12 on October 25, 2024.

Breach of fiduciary duty in management of accounts by alleged wrongful rate increase from 1.25% to 1.95% when account holder was “elderly and had cognitive decline due to medical conditions, from 1/1/2021 to Present.

There are Recent Customer Complaints with Broker Thomas Kruse in Firm Oppenheimer & Co. Inc.

March 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 25, 2024.

Claimant asserts claims for unsuitability, fraud, breach of contract, breach of fiduciary duty and violation of state securities laws in connection with his purchase of shares in a NASDAQ listed health care company. From 2008 to Present.

Broker Gustavo Miramontes in Oppenheimer & Co. Inc. Firm Has Customer Complaint

February 27, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on November 12, 2024.

Respondent Miramontes failed to respond to FINRA requests for information.

There are Recent Customer Complaints with Broker Michael Wilcheck in Firm Oppenheimer & Co. Inc.

February 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wilcheck (Wilcheck), previously associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one tax lien, alleging that Wilcheck recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 09, 2024.

Violated section 517.121(1), (2) and (3), Florida Statutes, by failing to provide to the Office the identified records required to be maintained by Rule 69W-600.014, Florida Administrative Code, after written requests by the Office.

Oppenheimer & Co. Inc. Broker Jean Mondestil Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jean Mondestil (Mondestil), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Mondestil 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 $8,931.00 on November 17, 2024.

Client alleged registered representative’s recommendation of principal protected market-linked CD was not consistent with her investment income objective.