GREGORY BAINES IGLOW is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 10880 WILSHIRE BOULEVARD, LOS ANGELES, CA, 90024.
GREGORY BAINES IGLOW has worked at OPPENHEIMER & CO. INC. since June 14, 2007
GREGORY BAINES IGLOW has 6 Disclosure Event(s).
Date: July 17, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT INFORMATION REGARDING A SECURITY WAS OMMITTED AT THE TIME OF PURCHASE AND THAT THE SECURITY SHOULD NOT HAVE BEEN PURCHASED GIVEN THEIR HEALTH & AGE. Damage Amount Requested: $40,698.83
Date: July 17, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGES THE INFORMATION REGARDING A SECURITY WAS OMMITTED AT THE TIME OF PURCHASE AND THAT THE SECURITY SHOULD NOT HAVE BEEN PURCHASED GIVEN THEIR HEALTH & AGE. Damage Amount Requested: $283,784.07
Date: December 17, 2009 Category: Customer Dispute Allegations: CLAIMANT ALLEGES MISREPRESENTATIONS AND OMISSIONS REGARDING AUCTION RATE SECURITIES PURCHASED BETWEEN DECEMBER 2007AND JANUARY 2008. Damage Amount Requested: $5,450,000.00 Settlement Amount: $3,164,250.00
Date: October 12, 2009 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT MR. IGLO & MR. ROSENMAYER MADE AN UNSUITABLE INVESTMENT IN A CORPORATE BOND FOR HIM IN FEBRUARY 2006 WHILE THEY WERE EMPLOYED AT RBC DAIN RAUSHER, INC. CLAIMANT TRANSFERRED HIS ACCOUNT TO OPPENHEIMER WHEN MR. IGLOW AND MR. ROSENMAYER BEGAN WORKING FOR OPENHEIMER. THE COMPANY FILED FOR BANKRUPTCY IN DECEMBER 2008 AND LOST ALL OF HIS MONEY. Damage Amount Requested: $15,403.00 Damages Granted: $17,121.00 Broker Comment: RESPONDENTS DENY ANY AND ALL WRONG DOING REGARDING THE TRANSACTIONS IN CLAIMANTS ACCOUNT. CLAIMANT'S LOSSES ARE DUE TO MARKET LOSSES AND RESPONDENTS WILL DEFEND AGAINST CLAIMANTS BASELESS ALLEGATIONS.
Date: March 06, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT HE WAS LIED TO AND THAT HIS BROKER WAS DISHONEST IN CONNECTION WITH THE CUSTOMERS PURCHASE ON 5/13/2008 OF FANNIE MAE PREFERRED. DAMAGES UNSPECIFIED BUT BELIEVED TO BE OVER $5000.00.
Date: April 07, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION REGARDING THE PURCHASE OF BLACK ROCK INCOME MUNICIPAL INCOME TRUST FUND. DAMAGES CLAIMED ARE 11,500.00 BECAUSE HE WAS TOLD THERE WAS NO LOAD. Damage Amount Requested: $11,500.00
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