Oppenheimer Fired Zach Taylor Over Trading Allegations
Zach Taylor (CRD# 6074776), a broker registered with Saxony Securities and doing business under the brand 9Dot Wealth, was recently fired by his former member-firm. This information is disclosed on his Financial Industry Regulatory Authority (FINRA) BrokerCheck record, accessed on July 11, 2023. The former Oppenheimer & Company representative is registered in Newport Beach, California. […]
Oppenheimer Advisor Mark Frommer Involved in New Investor Complaints
Mark Frommer (CRD# 1553129) is embroiled in pending customer disputes alleging he made unsuitable recommendations and unauthorized trades. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 10, 2022, he is currently a representative of Oppenheimer & Company in Chicago, Illinois. Complaints Allege Unauthorized Trading, Unsuitability FINRA records describe two pending […]
Oppenheimer Broker Gustavo Miramontes Involved in Unauthorized Trading Cases
Los Angeles based Oppenheimer broker Gustavo Miramontes (CRD# 2338966) is the subject of multiple customer disputes regarding unauthorized trading. He has a history of such complaints with older customer disputes involving Miramontes settling for more than $600,000. This information is based on his Financial Industry Regulatory Authority BrokerCheck report, accessed on February 2, 2022. Pending […]
Oppenheimer Advisor Daniel Mittag Involved in $450,000 Investor Dispute
Daniel Mittag (CRD #: 822636), a broker registered with Oppenheimer & Co., is facing investor allegations that he recommended unsuitable investments, according to his BrokerCheck record, accessed on January 10, 2022. There are two other investor disputes on his record – keep reading for more details. Investor Alleges that Daniel Mittag Engaged in Excessive Trading […]
Oppenheimer Advisor Steve Baaden Has History of Investor Complaints
Steve Baaden (CRD #: 1266766), a broker registered with Oppenheimer & Co., is involved in a dispute regarding unsuitable recommendations, according to his BrokerCheck record, accessed on January 10, 2022. This is not his first investor dispute. Pending Fraud Allegation On February 3, 2021, an investor alleged that Baaden recommended unsuitable investments and engaged in […]
New Arbitration Filed Against Oppenheimer Advisor Scott Turcott
Scott Turcott (CRD# 3123428), a Scottsdale-based Oppenheimer & Company broker is involved in an investor dispute. This is according to Financial Industry Regulatory Authority (FINRA) records accessed on November 9, 2021. If you lost money investing with Mr. Turcott or his firm and you want to discuss your case with us, please call 800-767-8040 to […]