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Category: Oppenheimer & Co.

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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 […]

Financial Advisor David Krumrey (Oppenheimer & Co., Inc.) Customer Complaints

David Krumrey (CRD # 4121845) was a Financial Advisor at Oppenheimer & Co., Inc. in the Woodlands, Texas. David Krumrey has been in the securities industry since 2000 and previously worked at the Stanford Group Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January 3, 2018, FINRA sanctioned […]

Financial Advisor Timothy Atyeo (Oppenheimer & Co., Inc.) Customer Complaints

Timothy Atyeo (CRD # 1544728) is a Financial Advisor at Oppenheimer & Co. in Fort Lauderdale, FL. Timothy Atyeo has been in the securities industry since 1986 and previously worked at CIBC World Markets and PaineWebber. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Timothy Atyeo has been the subject […]