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Category: Oppenheimer & Co.

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FINRA Sanctions Oppenheimer & Co. for Failure to Supervise

Oppenheimer & Co. (CRD#: 249) Broker Dealer’s Background Oppenheimer is a full-service broker dealer headquartered in New York and has been a FINRA member since 1945. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), between 2012 and 2017, Oppenheimer failed to reasonably supervise transactions that the firm’s […]

Financial Advisor Matthew Steinberg Subject of $2.5M Customer Dispute

Matthew Steinberg (CRD#: 2430032) is a registered broker at Oppenheimer & Co. Inc. in Jenkintown, PA.   Broker’s Background He entered the securities industry in 1993 and he previously worked with Dean Witter Reynolds Inc.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November of […]

Financial Advisor E. Matthew Steinberg Subject of $2M Customer Dispute

Matthew Steinberg (CRD#: 2430032) is a registered broker and investment advisor at Oppenheimer & Co. Inc. in Jenkintown, PA.   Broker’s Background He entered the securities industry in 1993 and has previously worked with Dean Witter Reynolds Inc.   Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Registered Broker Gustavo Miramontes has Fourteen FINRA Disclosures

Gustavo Miramontes (CRD#: 2338966) is a registered broker at Oppenheimer & Co. Inc., in Los Angeles, CA. Broker’s Background He entered the securities industry in 1996. He previously worked for Wedbush Securities, Inc.; Wells Fargo Advisors, LLC; Southwest Securities, Inc; and M.L Stern & Co., LLC. Current and Past Allegations of Conduct Leading to Investment […]

Financial Advisor David Feigeles Disclosed Two Customer Complaints

David Feigeles (CRD#: 1530561) is a dually registered Broker and Investment Advisor at Oppenheimer & Co., Inc. in Melville, NY. Broker’s Background He entered the securities industry in 1988 and previously worked for CIBC World Markets Corp.; Garban, LLC; Cantor Fitzgerald Securities; Garban Unlimited; Garban Securities, Inc.; and MKI Securities Corp. Current And Past Allegations […]

Financial Advisor Jeffrey Warren (Oppenheimer & Co., Inc.) Customer Complaints

Jeffrey Warren (CRD#: 2707969) was previously a dually registered Broker and Investment Advisor at Oppenheimer & Co., Inc. in Boca Raton, FL. He entered the securities industry in 1996 and previously worked for Wachovia Securities, LLC; UBS Financial Services, Inc.; and Prudential Securities, Inc. According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Ivan Shore (Oppenheimer & Co., Inc.) Customer Complaints

Ivan Shore is a Financial Advisor at Oppenheimer & Co. in New York, NY. Ivan Shore has been in the securities industry since 1981 and previously worked at Gruntal & Co. In November 2020, the Financial Industry Regulatory Authority (FINRA) sanctioned Ivan Shore, suspending him for a period of three months and imposing a fine. […]

Financial Advisor Matthew Platnico (Allied Millennial Partners, LLC) Customer Complaints

Matthew Platnico (CRD# 2102086) is a Financial Advisor at Allied Millennial Partners, LLC in New York, NY. Matthew Platnico has been in the securities industry since 1991 and previously worked at 12 different brokerage firms. Matthew Platnico’s employment history includes Arete Wealth Management, LLC, Oppenheimer & Co. Inc., Advest, Inc., and Wachovia Securities, LLC. According […]

Financial Advisor Frederick Levine (RBC Capital Markets, LLC) Customer Complaints

Frederick Levine (Fred Levine) (CRD # 1765119) is a Financial Advisor at RBC Capital Markets in Florham Park, NJ. Fred Levine previously worked for for Oppenheimer & Co. in Florham Park, NJ. According to publicly available records released by the Financial Industry Regulatory Authority (“FINRA”), on August 3, 3030, Fred Levine was sanctioned by FINRA, […]

Financial Advisor Dennis Ayre (Hilltop Securities Inc.) Customer Complaints

Dennis Ayre (CRD # 5365176) is a previously registered broker at Hilltop Securities Inc. Beverly Hills, CA. Dennis Ayre has been in the securities industry since 2008 and previously worked at Oppenheimer & Company, Inc. and Merrill Lynch, Pierce, Fenner and Smith Inc. According to publicly available records released by the Financial Industry Regulatory Authority […]