DAVID ANDREW ALLEN

DAVID ANDREW ALLEN is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 10880 WILSHIRE BOULEVARD, LOS ANGELES, CA, 90024.

DAVID ANDREW ALLEN has worked at OPPENHEIMER & CO. INC. since January 03, 2003

Disclosure History

DAVID ANDREW ALLEN has 1 Disclosure Event(s).

Date: January 19, 1995
Category: Criminal
Charges: FICTITIOUS DRIVERS LICENSE - MISDEMEANOR
Disposition: Convicted
Broker Comment: PIMA COUNTY CONSOLIDATED JUSTICE COURT HAS ORDERED THAT CASE/DOCKET #95001679 BE DISMISSED AND SET ASIDE. EXPUNGEMENT IS NOT AVAILABLE IN THE STATE OF ARIZONA

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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