ALLEN DUANE O'BRIAN is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 385 S. ETON STREET, BIRMINGHAM, MI, 48009.
ALLEN DUANE O'BRIAN has worked at OPPENHEIMER & CO. INC. since March 10, 2017
Disclosure History
ALLEN DUANE O'BRIAN has 2 Disclosure Event(s).
Date: February 02, 2017 Category: Employment Separation After Allegations Firm Name: Merrill Lynch, Pierce, Fenner & Smith Incorporated Termination Type: Discharged Allegations: Employee accessed and used the personal credentials of another associate to activate a debit card without preauthorization to use such credentials, resulting in a loss of management's confidence.
Date: February 01, 2000 Category: Customer Dispute Allegations: CLIENTS ALLEGED ZERO COUPON TREASURY BONDS PURCHASED IN JANUARY 1999 WERE UNSUITABLE. Damage Amount Requested: $116,489.00 Settlement Amount: $49,500.00 Broker Comment: BROKER DENIES ANY AND ALL WRONGDOING. BASED ON THE CLIENTS' INVESTMENTS OBJECTIVES, ZERO COUPONS TREASURIES WERE SUITABLE.
More Information
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