Articles Tagged with Oppenheimer & Co. Inc.

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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 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 pending customer complaint with a damage request of $500,000.00 on April 24, 2025.

Former FAs allegedly conducted a Ponzi Scheme; Failure to Supervise; Violation of FINRA Rules; Breach of Fiduciary Duty; Respondeat Superior/Agency by Estoppel. From 2013 to 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ann Greene (Greene), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Greene 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 $5,473,610.58 on August 28, 2023.

Plaintiffs allege John Woods and Michael Mooney conducted a Ponzi Scheme and that Gordon Morse and Ann Greene failed to supervise. From 2008-2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gordon Morse (Morse), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Morse 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 $5,473,610.58 on August 28, 2023.

Plaintiffs allege John Woods and Michael Mooney conducted a Ponzi Scheme and that Gordon Morse and Ann Greene failed to supervise. From 2008-2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker E Steinberg (Steinberg), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Steinberg 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 $2,500,000.00 on November 15, 2023.

Claimant asserts claims of failure to supervise, breach of fiduciary duty, breach of contract, fraud, and violations of FINRA Rules relating to investments in municipal bonds and two private equity investments, as well as the use of margin in connection with those investments. From 4/1/2017 to Present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Allen (Allen), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $250,000.00 on March 22, 2024.

Unsuitable transactions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Rosenmayer (Rosenmayer), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosenmayer 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 $500,000.00 on April 09, 2025.

Claimant asserts claims for negligence, negligent misrepresentation, breach of fiduciary duty, unsuitability, fraud, breach of contract, elder abuse and violations of state and federal securities laws in connection with investments in municipal bonds. 7/1/2021 to present

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Currently financial advisor Adam Jacobs (Jacobs), currently employed by brokerage firm Oppenheimer & CO. INC. has been subject to at least 2 disclosable events. These events include 2 customer complaints. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on April 26, 2024.

Claimants allege they suffered losses in a private placement investment and allege claims for negligence, breach of fiduciary duty, breach of contract, and violations of state securities laws. From 7/2018 – 3/2024

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Currently financial advisor Bruce Hartzmark (Hartzmark), currently employed by brokerage firm Oppenheimer & CO. INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on April 26, 2024.

Claimants allege they suffered losses in a private placement investment and allege claims for negligence, breach of fiduciary duty, breach of contract, and violations of state securities laws. From 7/2018 – 3/2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Shatsky (Shatsky), previously associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Shatsky 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 $788,000.00 on June 14, 2024.

Claimants allege that IAR did not accurately represent all material facts about their investment account and did not reasonably manage the account in 2020 and 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Nathe (Nathe), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Nathe 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 $409,002.00 on June 14, 2024.

Claimant alleges that his stock portfolio was sold without his authorization. 2022 – present

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