Articles Tagged with Oppenheimer & Co.

Scott TurcottPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 22, 2016 indicate that Arizona-based Oppenheimer & Company broker/adviser Scott Turcott has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Turcott (CRD# 3123428).

Scott Turcott has spent 17 years in the securities industry and has been registered with Oppenheimer & Company in Scottsdale, Arizona since April 2016. Previous registrations include Merrill Lynch in Scottsdale, Arizona and Wells Fargo Advisors in Scottsdale, Arizona. He is a registered broker and investment adviser with 45 US states and territories. Continue Reading

Jeffrey RubensteinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that New York-based Oppenheimer & Company broker/adviser Jeffrey Rubenstein has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rubenstein (CRD# 850152).

Jeffrey Rubenstein has spent 34 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2012. Previous registrations include Janney Montgomery Scott in New York, New York; Prudential Securities in New York, New York; Thomson McKinnon Securities in New York, New York; and EG Frances & Company. He is a registered broker and investment adviser with nine US states: California, Florida, Illinois, Massachusetts, New Jersey, New York, Ohio, Pennsylvania, and Virginia. Continue Reading

Lawrence GoldsteinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that California-based Oppenheimer broker/adviser Lawrence Goldstein has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Goldstein (CRD# 3223787).

Lawrence Goldstein has spent 17 years in the securities industry and has been registered with Oppenheimer & Company in Los Angeles, California since 2003. Previous registrations include CIBC World Markets in New York, New York (2001-2003) and PaineWebber in Weehawken, New Jersey (1999-2001). He is a registered broker and investment adviser with 23 US states and territories: Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Iowa, Louisiana, Maryland, Michigan, Minnesota, Missouri, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Dakota, Tennessee, Texas, and Washington. Continue Reading

Zahir WaljiPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 20, 2016 indicate that former Texas-based Oppenheimer broker Zahir Walji is currently not registered to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walji (CRD# 5073186).

Zahir Walji has spent eight years in the securities industry and was most recently registered with Oppenheimer & Company in Austin, Texas (2012-2014). He was previously registered with UBS Financial Services in Austin, Texas (2006-2012). He is currently not registered with any state or firm. Continue Reading

David HobsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2016 indicate that former Rhode Island-based Oppenheimer & Company broker David Hobson is the subject of pending civil and criminal complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hobson (CRD# 2448412).

David Hobson has spent 22 years in the securities industry and was most recently registered with Oppenheimer & Company in Providence, Rhode Island (2010-2016). Previous registrations include RBC Capital Markets in Providence, New York; Tucker Anthony in Boston, Massachusetts; Gruntal & Company in New York, New York; and Dickinson & Company in Des Moines, Iowa. He is currently not registered with any state or firm. Continue Reading

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Florida-based Oppenheimer broker/adviser Jorge Montealegre (CRD# 1799139).

Jorge Montealegre has spent 27 years in the securities industry and has been registered with Oppenheimer & Company in Miami, Florida since 2007. Previous registrations include UBS International in Coral Gables, Florida (2002-2007); UBS Painewebber in Weehawken, New Jersey (1999-2002); Prudential Securities in New York, New York (1991-1999); and Lehman Brothers in New York, New York (1988-1991). He is a registered broker and investment adviser in Florida, Illinois, Louisiana, New York, and Texas. Continue Reading

shutterstock_159512447The securities and investment fraud law firm is interested in hearing from investors who have complaints regarding New York-based Oppenheimer broker/adviser John Forsythe (CRD# 1038986).

John Forsythe has spent 32 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2003. Previous registrations include CIBC World Markets in New York (1983-2003) and First Jersey Securities (1982-1983). Mr. Forsythe is a broker and investment adviser registered in 37 US states and territories.

According to his BrokerCheck report, John Forsythe is the subject of three customer complaints, one pending customer complaint, and two customer complaints that have been denied.