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 one disclosable event. These events include one customer complaint, 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 Lawrence Harkavy (Harkavy), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Harkavy 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 $24,380.00 on January 15, 2021.

Client alleged unauthorized sales. From 6/1/2020 to 10/1/2020

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jeffrey Montville (Montville), 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 Montville  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 January 21, 2021.

Claimant asserts claims of violations of FINRA Rules, negligence, misrepresentations and omissions of fact, and breach of fiduciary duty arising from allegedly failing to halt Claimant from engaging in unspecified risky trades, excessive trading on margin, and\<char_lb_r>\, over-concentrated short position in one stock.From 2017 to 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alon Rosin (Rosin), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosin 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 $985,000.00 on January 07, 2026.

Complainant, an Institutional Investor, alleges misrepresentations in connection with the profit and losses incurred in connection with options trading strategy hedge for Complainant’s equities portfolio. 6/1/2025 to 10/30/2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Anthony (Anthony), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Anthony 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 $985,000.00 on January 07, 2026.

Complainant, an Institutional Investor, alleges misrepresentations in connection with the profit and losses incurred in connection with options trading strategy hedge for Complainant’s equities portfolio. 6/1/2025 to 10/30/2025

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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.

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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

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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.

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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.

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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.

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