Oppenheimer

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Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA
Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA 150 150 ER

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…

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George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Settlement of Customer Dispute and Termination-Washington, DC
George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Settlement of Customer Dispute and Termination-Washington, DC 150 150 ER

George Fellows Investigation January 2024- Washington, DC The FINRA records of  George W. Fellows, Jr.,   a former Merrill Lynch broker,  disclose a regulatory event,  a settled customer dispute and a termination.…

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Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY
Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY 150 150 ER

Ivan 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…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates E. Matthew Steinberg a Financial Advisor with Oppenheimer & Co.
Rex Securities Law Investment Fraud Attorney Investigates E. Matthew Steinberg a Financial Advisor with Oppenheimer & Co. 150 150 Robert Rex, Esq.

Last 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…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Oppenheimer & Co. Broker Adam Jacobs
Rex Securities Law Investment Fraud Attorney Investigates Oppenheimer & Co. Broker Adam Jacobs 150 150 Robert Rex, Esq.

Last 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:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Zach Taylor formerly with Oppenheimer & Co.
Rex Securities Law Investment Fraud Attorney Investigates Zach Taylor formerly with Oppenheimer & Co. 150 150 Robert Rex, Esq.

Last 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…

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  • Robert Rex, Esq.

Investment Fraud Attorney Bob Rex Investigates Broker Tyler Pratt with Oppenheimer & Co
Investment Fraud Attorney Bob Rex Investigates Broker Tyler Pratt with Oppenheimer & Co 150 150 Robert Rex, Esq.

Last 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…

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  • Robert Rex, Esq.

Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA
Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA 150 150 Robert Rex, Esq.

Oppenheimer 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…

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John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL
John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL 150 150 ER

John “JC” Carroll Investigation June  2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by  Vanderbilt Securities,  discloses a final regulatory matter…

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