Articles Tagged with Oppenheimer & Company

Demos ArgyrosPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Missouri-based Oppenheimer & Company broker/adviser Demos Argyros has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Argyros (CRD# 1325219).

Demos Argyros, also known as Demosthenes Argyropoulos, has spent 34 years in the securities industry and has been registered with Oppenheimer & Company in St. Louis, Missouri since 2003. Previous registrations include CIBC World Markets Corporation in New York, New York (1992-2003); Kemper Securities Group in St. Louis, Missouri (1990-1992); Blunt Ellis & Loewi (1989-1990); Shearson Lehman Hutton (1988-1989); EF Hutton & Company (1986-1988); and Dean Witter Reynolds (1985-1986). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 9, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 30, 1985; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on September 15, 1986; Series 7 (General Securities Representative Examination), which he obtained on January 19, 1985; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on March 19, 2008; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 19, 2008. He is a registered broker and investment adviser with 34 US states and territories.

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

Thomas McCarthyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that Connecticut-based Oppenheimer & Company broker/adviser Thomas McCarthy has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McCarthy (CRD# 1082545).

Thomas McCarthy has spent 35 years in the securities industry and has been registered with Oppenheimer & Company in Cheshire, Connecticut since 1988. Previous registrations include Fahnestock & Company (1988); Moseley Securities Corporation (1984-1988); and Smith Barney Harris Upham & Company (1982-1984). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 28, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 22, 1982; Series 7 (General Securities Representative Examination), which he obtained on December 18, 1982; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on November 8, 1999; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on November 8, 1999. He is a registered broker and investment adviser with 15 US states and territories: California, Colorado, Connecticut, Florida, Georgia, Massachusetts, Michigan, Nevada, New Jersey, New York, Rhode Island, South Carolina, Texas, Virginia, and Washington. He is registered with nine self-regulatory organizations (SROs): Cboe Exchange, the Chicago Stock Exchange, FINRA, NYSE American, 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.

Jane WasserstromPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 31, 2018 indicate that former New York-based Oppenheimer & Company broker Jane Wasserstrom, who has received a customer dispute, was recently discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Wasserstrom (CRD# 869389).

Jane Wasserstrom has spent 38 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since April 2018. Previous registrations include UBS Financial Services in New York, New York (2006-2018); Merrill Lynch in New York, New York (2006); Advest in Hartford, Connecticut (2002-2006); Lebenthal & Company in New York, New York (1981-2002); and First Investors Corporation (1979-1981). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on June 20, 2000; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on August 8, 1986; Series 7 (General Securities Representative Examination), which she obtained on October 17, 1981; and Series 1 (Registered Representative Examination), which she obtained on July 26, 1979. She is a registered broker and investment adviser with six US states: California, Connecticut, Georgia, Nevada, New Jersey, and New York. She is registered with nine self-regulatory organizations (SROs): Cboe 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 her BrokerCheck report, she has received one customer complaint and was discharged from her former employer in connection to alleged rule violations.

gavin natelliPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that New Jersey-based Oppenheimer & Company broker/adviser Gavin Natelli has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Natelli (CRD# 2218909).

Gavin Natelli has spent 25 years in the securities industry and has been registered with Oppenheimer & Company in Florham Park, New Jersey since 2014. Previous registrations include Morgan Stanley in Florham Park, New Jersey (2010-2014); Wells Fargo Advisors in Florham Park, New Jersey (2005-2010); UBS Financial Services in Weehawken, New Jersey (2000-2005); Salomon Smith Barney in New York, New York (1993-2000); and Lehman Brothers in New York, New York (1992-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 27, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 28, 1992; and Series 7 (General Securities Representative Examination), which he obtained on April 8, 1992. He is a registered broker and investment adviser with 21 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Illinois, Indiana, Kentucky, Maryland, Massachusetts, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, Vermont, and Virginia.

According to his BrokerCheck report, he has received one pending customer complaint and was terminated from a former employer in connection to alleged rule violations.

Kenneth SouthPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that California-based Oppenheimer & Company broker/adviser Kenneth South has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. South (CRD# 1387390).

Kenneth South has spent 32 years in the securities industry and has been registered with Oppenheimer & Company in Newport Beach, California since 2006. Previous registrations include Citigroup Global Markets in Newport Beach, California (1993-2006); Lehman Brothers in New York, New York (1988-1993); and EF Hutton & Company (1985-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 30, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 5, 1985; Series 3 (National Commodity Futures Examination), which he obtained on August 30, 1985; and Series 7 (General Securities Representative Examination), which he obtained on July 20, 1985. He is a registered broker and investment adviser with 31 US states and territories and with nine self-regulatory organizations (SROs): the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, NSYE American LLC, NYSE Arca Inc., Nasdaq ISE LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Angela Graham-West

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed and accessed on December 1, 2017 indicate that Florida-based Oppenheimer & Company broker/adviser Angela Graham-West has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Graham-West (CRD# 3004083).

Angela Graham-West has spent 19 years in the securities industry and has been registered with Oppenheimer & Company in Fort Lauderdale, Florida since September 2017. Previous registrations include Raymond James & Associates in Fort Lauderdale, Florida (2008-2017); AllState Financial Services in Tamarac, Florida (2005-2008); and First Command Financial Planning in Fort Worth, Texas (1998-2005). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on April 21, 2008; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on February 23, 1998; Series 7 (General Securities Representative Examination), which she obtained on May 17, 2008; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on February 23, 1998; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which she obtained on March 31, 2004. She is a registered broker and investment adviser with 13 US states and territories: Alabama, California, Florida, Illinois, Kansas, Maryland, New York, North Carolina, Puerto Rico, South Carolina, Tennessee, Texas, and Virginia. She is also 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 LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to her BrokerCheck report, she has received one pending customer complaint.

David FeigelesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2, 2017 indicate that New York-based Oppenheimer & Company broker/adviser David Feigeles has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Feigeles (CRD# 1530561).

David Feigeles has spent 28 years in the securities industry and has been registered with Oppenheimer & Company in Melville, New York since 2003. Previous registrations include CIBC World Markets in New York, New York; Garban LLC in Jersey City, New Jersey; Cantor Fitzgerald Securities in New York, New York; Garban Limited in Jersey City, New Jersey; Garban Securities in Jersey City, New Jersey; and MKI Securities Corporation. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 62 (Corporate Securities Limited Representative Examination); Series 10 (General Securities Sales Supervisor – General Module Examination); and Series 9 (General Securities Sales Supervisor – Options Module Examination). He is a registered broker and investment adviser with 36 US states and territories.

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

Lee HartzmarkPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 4, 2017 indicate that Ohio-based Oppenheimer & Company broker Lee Hartzmark has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hartzmark (CRD# 239113).

Lee Hartzmark has spent 54 years in the securities industry and has been registered with Oppenheimer & Company in Beachwood, Ohio since 1988. Previous registrations include Fahnestock International; Fahnestock & Company; Thomson McKinnon Securities; Cowen & Company; and Hartzmark & Company. He has passed three securities industry examinations: PC (AMEX Put and Call Exam); Series 4 (Registered Options Principal Examination); and Series 12 (NYSE Branch Manager Examination). He is a registered broker with six US states: Colorado, Florida, Illinois, New Jersey, New York and Ohio.

According to his BrokerCheck report, Lee Hartzmark has received two customer complaints and one pending customer complaint. He also resigned from Thomson McKinnon Securities following allegations he used “poor judgment in authorizing the holding of unbooked funds from a long-standing customer.”