Oppenheimer complaint

  • ER

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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  • ER

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.

Tom Thacker II- Oppenheimer Broker- Discloses $440K Customer Dispute-Beachwood, OH
Tom Thacker II- Oppenheimer Broker- Discloses $440K Customer Dispute-Beachwood, OH 150 150 Robert Rex, Esq.

November 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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  • Robert Rex, Esq.

Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY
Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY 150 150 Robert Rex, Esq.

October 2018- Melville, NY According to publicly available records  Robert Abramowitz (CRD#4457589), a stockbroker who is registered with National Securities Corp.  disclose a prior customer dispute and 2 pending customer disputes..…

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  • Robert Rex, Esq.

Demos Argyros-Oppenheimer Broker-Discloses Settlement of Customer Suit-St. Louis, MO
Demos Argyros-Oppenheimer Broker-Discloses Settlement of Customer Suit-St. Louis, MO 150 150 Robert Rex, Esq.

March 2019-St. Louis, MO The FINRA records of  Demos Argyros (Demostenes Argyropoulos),  a  stock broker who is currently employed by Oppenheimer and Co. ,  disclose  4 prior customer disputes and one currently pending matter. The…

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  • Robert Rex, Esq.

Oppenheimer Ordered to Pay Customer $800,000 For Unauthorized and Unsuitable Trading
Oppenheimer Ordered to Pay Customer $800,000 For Unauthorized and Unsuitable Trading 150 150 Robert Rex, Esq.

June 2018-Chicago, Illinois A FINRA (Financial Industry Regulatory Authority)  arbitration panel ordered brokerage firm Oppenheimer & Co. to pay a customer $800,000 in compensatory damages. The customer alleged that Oppenheimer…

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  • Robert Rex, Esq.

Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL
Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2019- Boca Raton, FL The FINRA records of Mitchell Toby Yanow  , a former stock broker disclose  that he was recently barred from the securities industry by FINRA, discharged by Stifel,…

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  • Robert Rex, Esq.

David Krumrey-Former Oppenheimer Stockbroker-Subject of Customer Complaints-The Woodlands, TX
David Krumrey-Former Oppenheimer Stockbroker-Subject of Customer Complaints-The Woodlands, TX 150 150 Robert Rex, Esq.

January 2018-The Woodlands, Texas We are investigating former Oppenheimer & Co.  stockbroker David W. Krumrey who was recently discharged by Oppenheimer for attempting to settle a customer complaint without informing the firm.…

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