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oppenheimer investigation

Dennis Ayre-Former Hill Top Securities Broker-Settles $1.18m+ in Customer Disputes and is Barred From Securities Industry-Beverly Hills, CA

Dennis Ayre-Former Hill Top Securities Broker-Settles $1.18m+ in Customer Disputes and is Barred From Securities Industry-Beverly Hills, CA 150 150 ER

Dennis Ayre Investigation April 2022-Beverly Hills, CA According to publicly available records Dennis Ayre,  a  former stockbroker who last worked for Hill Top Securities discloses that he has 9 prior customer complaints…

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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 Rex Securities Law

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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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 Rex Securities Law

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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Abraham Heimann-Former Oppenheimer/Cetera Stockbroker-Subject of Suits Over Energy Investments-Alpharetta, GA

Abraham Heimann-Former Oppenheimer/Cetera Stockbroker-Subject of Suits Over Energy Investments-Alpharetta, GA 150 150 Rex Securities Law

April 2018-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) ,  a  stockbroker who last was employed by Cetera Advisors, and who is not currently registered with any brokerage firm, discloses…

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Todd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute Alleging Churning – St. Louis, MO

Todd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute Alleging Churning – St. Louis, MO 150 150 Rex Securities Law

August 2017 – St. Louis, MO According to publicly available records Todd Allen Burnett (CRD#2703620) ,  a  stockbroker who currently is employed by Oppenheimer & Co. ,  disclose a recently filed customer dispute. The Financial…

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Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC

Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC 150 150 Rex Securities Law

JUNE 2017- New York, NY According to publicly available records Gregg D. Templeton (CRD#2412775) ,  a  former stockbroker who was previously registered with Oppenheimer & Co., discloses a prior regulatory event, a currently pending…

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Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA

Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA 150 150 Rex Securities Law

May 2017-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) ,  a  stockbroker who is not currently registered with any brokerage firm discloses three currently pending customer disputes. The Financial Industry Regulatory Authority…

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