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Gustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records Gustavo Miramontes, a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…
read moreIvan Shore Investigation January 2024- New York, NY According to his FINRA record Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…
read moreLast Updated: January 2024 (Jenkintown, PA) E. Matthew Steinberg Investigation Summary Here’s what you need to know about Jenkintown, PA, stockbroker E. Matthew Steinberg: Name: Mr. E. Matthew Steinberg Current…
read moreLast Updated: November 2023 (Beachwood, OH & Boca Raton, FL) Adam Jacobs Investigation Summary Here’s what you need to know about Beachwood, Ohio & Boca Rarton, FL, stockbroker Adam Jacobs:…
read moreLast Updated: October 2023 (Newport Beach, CA) Zach Taylor Investigation Summary Here’s what you need to know about Newport Beach, CA, stockbroker Zachary E. Taylor: Name: Mr. Zachary E. Taylor…
read moreLast Updated: August 2023 (Newport Beach, CA) Tyler Pratt Investigation Summary Here’s what you need to know about Newport Beach, CA stockbroker Tyler Pratt: Name: Mr. Tyler William Pratt Current…
read moreOppenheimer Hit with $36M Arbitration Award Attempt to Have It Set Aside Fails June 2023 – Atlanta, GA In September 2022 a FINRA arbitration panel awarded $36 million…
read moreSteve Baaden Investigation August, 2022 – Dallas, TX The FINRA records of Steven R. Baaden, an Oppenheimer & Co. broker, disclose settlement of a recent customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreNovember 2020- Beachwood, OH According to publicly available records, a Oppenheimer, broker Tom G. Thacker II, discloses a recently filed pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
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