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Category Oppenheimer & Co.

Recover Your Losses in the John J. Woods & Horizon Private Equity, III Ponzi Scheme

September 14, 2021

The Wolper Law Firm is currently investigating claims arising out of the $110 million Ponzi scheme orchestrated by John J. Woods and his investment advisory firm, Livingston Group Asset Management d/b/a Southport Capital.  The specific fund sold to investors is known as the Horizon Private Equity, III, LLC.  If you are one of the impacted…

Oppenheimer & Co. Financial Advisor Cesar Hurtado Suspended by FINRA

August 17, 2021

Cesar Hurtado (CRD#: 4137948) is a dually registered Broker and Investment Advisor at Oppenheimer & Co., in Miami, FL. He entered the securities industry in 2000 and previously worked for CIBC World Markets Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in August 2021, FINRA sanctioned Cesar Hurtado, levying…

Oppenheimer & Co., Inc. Financial Advisor Jeffrey Warren Barred Indefinitely by FINRA After Failing to Participate in Investigation of Firm Policy Violations

June 16, 2021

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…

Oppenheimer & Co. Financial Advisor, Ivan Shore, Sanctioned By FINRA For Improper Sales Practices Relating To Unit Investment Trusts

November 15, 2020

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.…

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Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

Additional Office Locations (by appointment only)
Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154