Articles Tagged with Oppenheimer & Co. Inc.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ximena Goni (Goni), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Goni recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on March 14, 2025.

Claimant alleges she suffered losses because of an ill-timed liquidation of an investment and alleges claims for breach of fiduciary duty, fraud and negligence. From 11/2022 – 12/2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jay Spieler (Spieler), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Spieler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on March 14, 2025.

Claimant alleges she suffered losses because of an ill-timed liquidation of an investment and alleges claims for breach of fiduciary duty, fraud and negligence. From 11/2022 – 12/2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Reynolds (Reynolds), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Reynolds recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $865,072.00 on March 11, 2025.

ATTORNEY REPRESENTING THE TRUSTS ALLEGES THAT UNSUITABLE INVESTMENTS WERE MADE IN THE ACCOUNTS, AND THAT MISREPRESENTATIONS WERE MADE. TIME PERIOD APPEARS TO BE 2022-2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Werdesheim (Werdesheim), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Werdesheim recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $940,941.00 on September 03, 2024.

Negligence/unsuitability; Breach of Contract; Breach of Fiduciary Duty; Respondeat Superior; Negligent Supervision. From 2014 to 3/1/2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Woods (Woods), previously associated with Oppenheimer & Co. Inc., has at least 15 disclosable events. These events include 14 customer complaints, one tax lien, alleging that Woods recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 07, 2024.

Violation of FINRA rules; Violations of Georgia & NC Blue Sky Laws and RICO; Breach of Fiduciary Duty; Breach of the Duty of Good Faith & Fair Dealing; Breach of Contract; Respondeat Superior/Agency by Estoppel Liability; \, Ponzi Scheme. From 2013 to 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Iris Israel (Israel), previously associated with Oppenheimer & Co. Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Israel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 07, 2024.

Violation of FINRA rules; Violations of Georgia & NC Blue Sky Laws and RICO; Breach of Fiduciary Duty; Breach of the Duty of Good Faith & Fair Dealing; Breach of Contract; Respondeat Superior/Agency by Estoppel Liability; Ponzi Scheme. From 2013 to 2016.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Moshtael (Moshtael), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Moshtael recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on October 15, 2024.

Failure to maintain/handle account based on Complainant’s instructions to not let value of the account fall below $250k; excessive commission charges. From 8/1/2020 to 2/1/2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerald Hymen (Hymen), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Hymen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $38,066.12 on October 25, 2024.

Breach of fiduciary duty in management of accounts by alleged wrongful rate increase from 1.25% to 1.95% when account holder was “elderly and had cognitive decline due to medical conditions, from 1/1/2021 to Present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kruse (Kruse), previously associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kruse recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 25, 2024.

Claimant asserts claims for unsuitability, fraud, breach of contract, breach of fiduciary duty and violation of state securities laws in connection with his purchase of shares in a NASDAQ listed health care company. From 2008 to Present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gustavo Miramontes (Miramontes), previously associated with Oppenheimer & Co. Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Miramontes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 12, 2024.

Respondent Miramontes failed to respond to FINRA requests for information.

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