Articles Tagged with Oppenheimer & Company

Petar ArizanovPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that New York-based Oppenheimer & Company broker/adviser Petar Arizanov has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Arizanov (CRD# 4804419).

Petar Arizanov has spent 14 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2013. Previous registrations include Fidelity Brokerage Services in New York, New York (2009-2013); National Securities Corporation in New York, New York (2007-2008); and Gunnallen Financial in Westbury, New York (2004-2007). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 3, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 2, 2004; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 23, 2004; and Series 24 (General Securities Principal Examination), which he obtained on June 2, 2008. He is a registered broker and investment adviser with 13 US states and territories: California, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, Pennsylvania, and Texas. He is registered with self-regulatory organizations (SROs): Cboe Exchange Inc., FINRA, NYSE American LLC, NYSE Arca Inc., NYSE Chicago Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one customer complaint that was closed with no action taken.

Jesse WebbPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Texas-based Oppenheimer & Company broker/adviser Jesse Webb, who has received several customer disputes, was recently named in a pending complaint by state regulatory authorities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Webb (CRD# 2298761).

Jesse Webb has spent 25 years in the securities industry and has been registered with Oppenheimer & Company in The Woodlands, Texas since 2012. Previous registrations include Merrill Lynch in The Woodlands, Texas (2007-2012); UBS Financial Services in The Woodlands, Texas (2001-2007); and Morgan Stanley DW in Purchase, New York (1993-2001). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 13, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 9, 1993; Series 31 (Futures Managed Funds Examination), which he obtained on April 13, 1996; and Series 7 (General Securities Representative Examination), which he obtained on December 18, 1992. He is a registered broker and investment adviser with nine US states: Arizona, Florida, Indiana, Louisiana, Minnesota, Mississippi, Nevada, South Carolina, and Texas.

According to his BrokerCheck report, he has received three customer complaints and one pending regulatory complaint, and he resigned from his former employer in connection to alleged rule violations.

Eric Miller

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 21, 2018 indicate that Florida-based Oppenheimer & Company broker Eric Miller has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miller (CRD# 2687217).

Eric Miller has spent twenty-one years in the securities industry and has been registered with Oppenheimer & Company in Palm Beach Gardens, Florida since 2013. He was previously registered with FMSbonds in Boca Raton, Florida (1996-2013). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 12, 1997, and Series 7 (General Securities Representative Examination), which he obtained on October 30, 1996. He is a registered broker with 26 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Maine, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia, Washington, and West Virginia. He is registered with nine self-regulatory organizations (SROs): Cboe Exchange, the Chicago Stock Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

Eugene FreundPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 23, 2018 indicate that New York-based Oppenheimer & Company broker Eugene Freund has received pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Freund (CRD# 214180).

Eugene Freund has spent 47 years in the securities industry and was most recently registered with Oppenheimer & Company in New York, New York (2017). Previous registrations include Empire Asset Management Company in New York, New York (2016-2017); RBC Capital Markets in New York, New York (2004-2016); RBC Dain Rauscher in New York, New York (2002-2003); Tucker Anthony in Boston, Massachusetts (1988-2002); LF Rothschild & Company (1973-1988); and Ladenburg Thalmann & Company (1968-1973). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 10, 1980; PC (AMEX Put and Call Exam), which he obtained on January 17, 1978; and Series 1 (Registered Representative Examination), which he obtained on January 25, 1962. He is currently not registered with any state, firm, or self-regulatory organization.

According to his BrokerCheck report, he has received two pending customer complaints.

David KrumreyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 6, 2017 indicate that former Texas-based Oppenheimer & Company broker/adviser David Krumrey has received pending customer disputes and was discharged from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Krumrey (CRD# 4121845).

David Krumrey has spent 17 years in the securities industry and was most recently registered with Oppenheimer & Company in The Woodlands, Texas (2009-2017). Previous registrations include Stanford Group Company in Houston, Texas (2009) and Merrill Lynch in Kingwood, Texas (2000-2009). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 14, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on June 9, 2004; and Series 7 (General Securities Representative Examination), which he obtained on March 21, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two pending customer complaints and was discharged from his former employer in connection to alleged rule violations.

John McKallagatPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that Massachusetts-based Oppenheimer & Company broker John McKallagat is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McKallagat (CRD# 843357).

John McKallagat has spent 40 years in the securities industry and has been registered with Oppenheimer & Company in Boston, Massachusetts since 2003. Previous registrations include CIBC World Markets in New York, New York (1995-2003); Lehman Brothers in New York, New York (1984-1995); Lehman Brothers Kuhn Loeb (1978-1984); and Thomson McKinnon Securities (1977-1978). he has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 4, 1979, and Series 7 (General Securities Representative Examination), which he obtained on August 20, 1977. He is a registered broker with 17 US states and territories: California, Colorado, Connecticut, Delaware, Florida, Maryland, Massachusetts, Missouri, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Texas, Utah, Vermont and Virginia. He is registered with nine self-regulatory organizations (SROs): the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

Donald SeifertPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that Connecticut-based Oppenheimer & Company broker Donald Seifert has received a denied customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Seifert (CRD# 1809836).

Donald Seifert has spent 29 years in the securities industry and has been registered with Oppenheimer & Company in Danbury, Connecticut since 1988. He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 22, 1988, and Series 7 (General Securities Representative Examination), which he obtained on June 18, 1988. He is a registered broker with ten US states: Arizona, California, Connecticut, Florida, Massachusetts, Nevada, New Hampshire, New York, South Carolina and Tennessee. He is registered with nine self-regulatory organizations (SROs): the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, NYSE American LLC, NYSE Arca, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint that was denied.

Owen RosenblumPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that Ohio-based Oppenheimer & Company broker/adviser Owen Rosenblum has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rosenblum (CRD# 1251823).

Owen Rosenblum has spent 33 years in the securities industry and has been registered with Oppenheimer & Company in Beachwood, Ohio since 2012. Previous registrations include Wells Fargo Advisors in Cleveland, Ohio; McDonald Investments in Cleveland, Ohio; Cowen & Company in New York, New York; and Painewebber. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eleven US states and territories: Arizona, California, Florida, Illinois, Massachusetts, Michigan, New Jersey, New Mexico, New York, Ohio, and Tennessee.

According to his BrokerCheck report, he has received two customer complaints.

Craig AllenPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 19, 2017 indicate that Illinois-based Oppenheimer & Company broker/adviser Craig Allen has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Allen (CRD# 838590).

Craig Allen has spent 40 years in the securities industry and has been registered with Oppenheimer & Company in Chicago, Illinois since 2003. Previous registrations include CIBC World Markets in New York, New York; Oppenheimer & Company; Morgan Stanley & Company; and Merrill Lynch. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 5 (Interest Rate Options Examination); Series 7 (General Securities Representative Examination); and Series 4 (Registered Options Principal Examination). He is a registered broker and investment adviser with 26 US states and territories. He is registered with nine self-regulatory organizations (SROs), including: the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, NYSE American, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

Warren RowePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 4, 2017 indicate that Virginia-based Oppenheimer & Company broker/adviser Warren Rowe has been the subject of customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rowe (CRD# 1065880).

Warren Rowe has spent 34 years in the securities industry and has been registered with Oppenheimer & Company in Richmond, Virginia since 2011. Previous registrations include RBC Capital Markets in Richmond, Virginia; Ferris Baker Watts in Richmond, Virginia; Wachovia Securities in St. Louis, Missouri; Prudential Securities in New York, New York; Scott & Stringfellow; and Anderson & Strudwick. He is a registered broker and investment adviser with 14 US states and territories: California, Florida, Georgia, Maine, Maryland, Minnesota, New York, North Carolina, Pennsylvania, South Carolina, Texas, Virginia and Washington.

According to his BrokerCheck report, he has received three customer complaints.