The Financial Industry Regulatory Authority (FINRA) mandated that Oppenheimer & Co. Inc. compensate several victims of a Ponzi scheme with nearly $14 million. The scheme, which targeted 400 elderly investors, was orchestrated by a former Oppenheimer broker, John J. Woods. These investors purchased shares in the purported Ponzi scheme, known as the Horizon Private Equity […]
Cesar Hurtado is a broker registered with Oppenheimer & Co. from January 2003 onwards. He has recently made disclosures pertaining to two customer disputes, as well as his suspension. The information is public and available on his Broker record. Disclosures made by Hurtado relate to settlements with customers of Oppenheimer, in response to allegations made by
Oppenheimer Broker Hurtado Discloses Customer Claims & Suspension Read More »
Haselkorn & Thibaut, P. A., is investigating potential sales practice and supervision issues related to a former financial advisor, Brian Engstrom who was previously with Oppenheimer & Co., Inc. (2002-2016) and with Stifel, Nicolaus & Company (2016-2020) in Tampa, FL. The attorneys of Haselkorn & Thibaut have been investigating potential sales practice and supervision issues
Brian Engstrom | Stifel, Nicolaus & Co: SUSPENDED Read More »