OPPENHEIMER & CO. INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 249). Regulatory assets under management: $36.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 50 people.
| Name | Role | Location |
|---|---|---|
| Albert Grinsfelder Lowenthal | CHMN/DIR/CEO - OWNS 100% OF PHASE II FIN'L; EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L; OWNS 100% | — |
| Dennis Patrick Mcnamara | E.V.P./CLO/SECRETARY | — |
| Robert Steven Lowenthal | CEO-PRESIDENT-DIRECTOR; DIRECTOR/PRESIDENT | — |
| Edward Patrick Harrington | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | — |
| Leon E Molokie Jr | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | — |
| Brad Michael Watkins | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO; EXECUTIVE VICE PRESIDENT-CFO | — |
| Peter John Giordano | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | — |
| Thomas Edward Cassidy | MANAGING DIRECTOR; MANAGING DIRECTOR/DIRECTOR | — |
| Dominic Thomas Valentino | CHIEF COMPLIANCE OFFICER | — |
| Teresa Carol Incao | INTERIM CHIEF COMPLIANCE OFFICER | — |
| Douglas Thornley Siegel | CHIEF COMPLIANCE OFFICER | — |
| John Thomas Mcguire | MANAGING DIRECTOR/DEPUTY GENERAL COUNSEL- DIRECTOR OF LITIGATION | — |
| John Anthony Benedetto | DIRECTOR | — |
| SCHWARTZ CARY MICHAEL | SROP | — |
| ROBERTS ELAINE KELLS | DIRECTOR; DIRECTOR/TREASURER; OPPENHEIMER HOLDINGS - PRESIDENT (+1 more) | — |
| LOWENTHAL ALBERT GRINSFELDER | CHMN/DIR/CEO - OWNS 100% OF PHASE II FIN'L; CHMN/DIR/CEO/SROP - OWNS 100% OF PHASE II FIN'L; OWNS 100% | — |
| MCNAMARA DENNIS PATRICK | E.V.P./CLO/SECRETARY; S.V.P./SENIOR CORPORATE COUNSEL | — |
| BEACH STEPHEN CHARLES | CCO- IA | — |
| ROBERTS OLGA | CONTROLS 100%; CONTROLS 100% OF ELKA ESTATES | — |
| OUGHTRED ANGUS WINN | DIRECTOR | — |
| NEUHOFF ROBERT MICHAEL | EXECUTIVE VICE PRESIDENT/DIRECTOR | — |
| WOHLMAN RICHARD | CFO | — |
| HOLEMAN ALLEN BERNARD | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER; S.V.P/CHIEF COMPLIANCE OFFICER | — |
| SPAULDING LAWRENCE PETER | DIRECTOR; DIRECTOR/E.V.P/ CHIEF OPERATIONS OFFICER; E.V.P/ CHEIF OPERATIONS OFFICER (+3 more) | — |
| OKIN ROBERT STEVEN | E.V.P NATIONAL SALES; E.V.P. NATIONAL SALES | — |
Showing 10 of 49 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-05-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ITS CUSTOMER ACCOUNT STATEMENTS CONTAINED INACCURATE AND MISLEADING INFORMATION CONCERNING COLLATERALIZED MORTGAGE OBLIGATIONS (CMOS) ISSUED BY PRIVATE ENTITIES (PRIVATE LABEL CMOS). THE… | Final | $250K |
| 2024-05-07 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE TRANSACTIONS THAT ITS REGISTERED REPRESENTATIVES PLACED DIRECTLY WITH PRODUCT SPONSORS ON BEHALF OF FIRM CUSTOMERS (I.E., DIRECT BUSINESS TRANSACTIONS OR… | Final | $500K |
| 2024-03-28 | regulatory | THE ENFORCEMENT SECTION OF THE MISSOURI SECURITIES DIVISION ALLEGES AN ACTION THAT CONSTITUTES SUFFICIENT GROUNDS TO DISCIPLINE RESPONDENT IN ACCORDANCE WITH SECTIONS 409.4-412(B) AND (C). | Final | $4K |
| 2024-03-19 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION") HAS REASON TO BELIEVE THAT FROM AT LEAST 2019 TO THE PRESENT ("RELEVANT PERIOD"), OPPENHEIMER & CO. INC. ("OPPENHEIMER" OR "RESPONDENT") VIOLATED, AS SET FORTH BELOW, SECTION 4G OF THE COMMODITY EXCHANGE ACT ("ACT"), AND COMMISSION REGULATIONS… | Final | $1.0M |
| 2024-02-09 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, AGAINST OPPENHEIMER & CO. INC. ("OPPENHEIMER" OR "RESPONDENT"). IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDING… | Final | $12.0M |
| 2023-12-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, VATTEROTT CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE CAUSED HIS MEMBER FIRM TO MAINTAIN INACCURATE BOOKS AND RECORDS BY FALSIFYING THE REPRESENTATIVE CODE FOR TRADES IN HIS FIRM'S ORDER ENTRY SYSTEM, CAUSING THE TRADE CONFIRMATIONS TO S… | Final | $5K |
| 2023-09-07 | regulatory | OPPENHEIMER & CO. INC VIOLATED CBOE RULES 4.24 AND 8.16 IN THAT THE FIRM FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WSPS REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH EXCHANGE LOPR RULES. | Final | $450K |
| 2023-08-21 | regulatory | THE LICENSEE UNKNOWINGLY ENGAGED IN THE BUSINESS OF INSURANCE DURING THE PERIOD THE LICENSEE'S PRODUCER LICENSE LAPSED BY SELLING INSURANCE AND RECEIVING COMMISSIONS (4/30/23-6/6/23). THE LICENSEE SHALL PAY A FINE TO THE DEPARTMENT IN THE AMOUNT OF $250.00 | Final | $250 |
| 2023-07-07 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, PEJOUHESH CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE IMPROPERLY DIRECTED AND ALLOWED HIS INTERN AT HIS MEMBER FIRM TO COMPLETE 14 HOURS OF CONTINUING EDUCATION (CE) COURSES RELATED TO PEJOUHESH'S CERTIFIED FINANCIAL PLANNER (CFP) DESIGN… | Final | $10K |
| 2023-03-24 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED NYSE ARCA RULE 11.1(B). THE FINDINGS STATED THAT THE FIRM FAILED TO OBTAIN THE MOST ADVANTAGEOUS TERMS FOR A CUSTOMER OPTIONS ORDER, AND ALSO FAILED TO OBTAIN THE AGREEMENT OF… | Final | $90K |