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Articles Tagged with Oppenheimer & Co.

Timothy Atyeo (CRD#: 1544728), a registered representative with Oppenheimer & Co. Inc. in Fort Lauderdale, Florida, is currently involved in a customer dispute in which claimants allege “negligence, breach of fiduciary duty, misrepresentation and over concentration and speculative trading in the energy sector,” according to his BrokerCheck record accessed on September 6, 2019. The claimants […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 25, 2016 indicate that New Jersey-based Oppenheimer & Company broker/adviser Gavin Natelli is the subject of a civil judgment or lien. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Natelli […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that Florida-based Oppenheimer & Company broker Michael Sandberg has been the subject of numerous resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sandberg […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that California-based Oppenheimer & Company broker/adviser Steve Baaden has been the subject of numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Baaden (CRD# 1266766). Steve […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 9, 2016 indicate that Washington DC-based Oppenheimer & Company broker/adviser Andrew Martin has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Martin (CRD# 2410569). […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Illinois-based Oppenheimer & Company broker/adviser Robert Asher is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Asher (CRD# 721060). Robert […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that FINRA has sanctioned broker-dealer Oppenheimer & Company $2.25 million, in addition to ordering restitution of more than $716,000, following allegations the firm sold leveraged, inverse, and inverse-leveraged exchange-traded funds to retail customers “without reasonable supervision, and for recommending non-traditional […]

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding the Oppenheimer Commodity Strategy Total Return Fund (QRAAX), whose liquidation was announced in May 2016. According to US News, the Oppenheimer Commodity Strategy Total Return Fund “mainly invests in a combination of commodity-linked derivatives and corporate […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2016 indicate that former New York-based Oppenheimer broker Michael Marchassalla is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking investors who have complaints regarding […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Florida-based Oppenheimer & Company broker/adviser Timothy Atyeo has received settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Atyeo (CRD# 1544728). Timothy […]

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