Oppenheimer & Co. Inc.

There are Recent Customer Complaints with Broker Jerald Hymen in Firm Oppenheimer & Co. Inc.

March 3, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Thomas Kruse in Firm Oppenheimer & Co. Inc.

March 3, 2025 | by Staff Attorney

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.

Broker Gustavo Miramontes in Oppenheimer & Co. Inc. Firm Has Customer Complaint

February 27, 2025 | by Staff Attorney

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.

Oppenheimer & Co. Inc. Broker Jean Mondestil Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jean Mondestil (Mondestil), currently associated with Oppenheimer & Co. Inc., has at least one disclosable event. These events include one customer complaint, alleging that Mondestil 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 $8,931.00 on November 17, 2024.

Client alleged registered representative’s recommendation of principal protected market-linked CD was not consistent with her investment income objective.

Oppenheimer & Co. Inc. Previous Broker Gustavo Miramontes Has Customer Complaint

January 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Gustavo Miramontes (Miramontes), currently associated with Oppenheimer & Co. Inc., has at least fourteen disclosable events. These events include eleven customer complaints alleging that Miramontes recommended unsuitable investments in different investment products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $151,477 on September 27, 2023.

Claimant asserts claims for breach of fiduciary duty, churning, negligence, negligent misrepresentation, falsifying account documentation, unauthorized trading as well as violations of FINRA rules and state securities laws. 01/2019 – 06/2023