JOHN PETER GATTERMEIR is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 4717 GRAND AVENUE, SUITE 230, KANSAS CITY, MO, 64112.
JOHN PETER GATTERMEIR has worked at OPPENHEIMER & CO. INC. since January 03, 2002
Disclosure History
JOHN PETER GATTERMEIR has 3 Disclosure Event(s).
Date: January 02, 2001 Category: Customer Dispute Allegations: CUSTOMERALLEGES UNSUITABLE AND UNAUTHORIZED TRADING AND MISREPRESENTATION OR CONCEALED MATERIAL INFORMATION CONCERNING ACTIVITY IN HER ACCOUNTS AT GEORGE K. BAUM & CO.FROM LATE 1997 TO EARLY 1999. Damage Amount Requested: $85,946.00 Settlement Amount: $40,000.00
Date: June 30, 2000 Category: Regulatory
Date: October 12, 1999 Category: Customer Dispute Allegations: IT IS ALLEGED AND STRENUOUSLY DENIED BY MR. GATTERMEIR THAT HE EXECUTED TRANSACTIONS THAT WERE UNSUITABLE OR UNAUTHORIZED. A DETAILED EXPLANATION OF THE TRANSACTIONS AND THE HISTORY OF MR. GATTERMEIR'S DEALINGS WITH CUSTOMERARE SET FORTH IN A LETTER DATED FEBRUARY 25, 2000 TO A THIRD PARTY DEPARTMENT AND ON FILE WITH THE NASD. Damage Amount Requested: $19,481.32 Settlement Amount: $20,000.00
More Information
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