Ivan Shore Investigation November 2021- New York, NY According to his FINRA record Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…
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…
read moreOctober 2020-The Woodlands, TX According to publicly available records of Jesse Webb (CRD#2298761) , a stockbroker with Oppenheimer & Co. lnc., discloses a final regulatory event , 3 settled customer disputes…
read moreOctober 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..…
read moreFebruary 2020- Boca Raton, FL According to publicly available records Michael B. Ralby (CRD#1301072), a stockbroker who formerly was registered with Morgan Stanley Smith Barney, disclose a regulatory event, 3…
read moreMarch 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…
read moreJune 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…
read moreApril 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,…
read moreJanuary 2020-Westport, CT The FINRA records of Daniel H. Morris, a stockbroker who was formerly employed by Oppenheimer and Co. disclose prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…
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