Oppenheimer & Co. Inc.

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

May 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Rosario (Rosario), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosario 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 $20,000.00 on May 11, 2020.

Time frame: Unspecified Claimant alleges the recommendation to invest in and hold unsuitable concentration in Puerto Rico Closed-End Funds (CEFs) was misrepresented as safe and suitable.

Broker Jaime Cosculluela in Oppenheimer & CO. INC. Firm Has Customer Complaint

May 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Cosculluela (Cosculluela), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Cosculluela 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 $20,000.00 on May 11, 2020.

Time frame: Unspecified \<char_lb_r>\, Claimant alleges the recommendation to invest in and hold unsuitable concentration in Puerto Rico Closed-End Funds(CEFs) was misrepresented as safe and suitable

There are Recent Customer Complaints with Broker Russell Ogan in Firm Oppenheimer & CO. INC.

May 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Ogan (Ogan), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Ogan 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 $40,000.00 on May 14, 2020.

Claimant alleges unauthorized trading, negligence, breach of fiduciary duty and breach of contract in relation to the purchase of a UIT. From 1/22/2020 to 1/29/2020

There are Recent Customer Complaints with Broker Marc Menton in Firm Oppenheimer & CO. INC.

May 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Menton (Menton), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Menton 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 $485,000.00 on May 26, 2020.

Claimant alleges claims for Fraudulent Misrepresentation, Fraudulent Concealment, Negligent Misrepresentation, Negligent Concealment, Negligence, Unsuitability, Breach of Fiduciary Duty, Breach of Contract, Breach of the Implied Covenant of Good Faith and Fair Dealing, Elder Abuse. From 1/1/2010 to 12/31/2019.

There are Recent Customer Complaints with Broker Steven Savoy in Firm Oppenheimer & CO. INC.

April 29, 2026 | by Staff Attorney

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.

Broker Lawrence Harkavy in Oppenheimer & CO. INC. Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Jeffrey Montville in Firm Oppenheimer & CO. INC.

April 15, 2026 | by Staff Attorney

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.

Broker Alon Rosin in Oppenheimer & CO. INC. Firm Has Customer Complaint

April 12, 2026 | by Staff Attorney

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

Broker Richard Anthony in Oppenheimer & CO. INC. Firm Has Customer Complaint

April 12, 2026 | by Staff Attorney

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

There are Recent Customer Complaints with Broker David Burke in Firm Oppenheimer & CO. INC.

March 10, 2026 | by Staff Attorney

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.