Category: Oppenheimer & Co.

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

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 […]

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 […]

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), […]

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 […]

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 […]

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 […]

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. […]

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 […]

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, […]