JOHN PATRICK HARRINGTON is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 711 LOUISIANA STREET, 15TH FLOOR, HOUSTON, TX, 77002.
JOHN PATRICK HARRINGTON has worked at OPPENHEIMER & CO. INC. since January 03, 2003
JOHN PATRICK HARRINGTON has 6 Disclosure Event(s).
Date: June 25, 2012 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE MISREPRESENTATIONS RE:AUCTION RATE SECURITIES Damage Amount Requested: $150,000.00 Broker Comment: REGISTRANT WAS NOT A NAMED RESPONDENT AND DENIES THE ALLEGATIONS IN THE STATEMENT OF CLAIM. CLAIMANTS ARE TEMPORARILY WITHOUT LIQUIDITY BUT HAVE NOT SUFFERED REALIZED LOSSES.
Date: February 14, 2011 Category: Customer Dispute Allegations: CLAIM ALLEGES MISREPRESENTATIONS RE: SALE OF ARS IN 2007 Damage Amount Requested: $2,200,000.00 Settlement Amount: $100,000.00 Broker Comment: THE REGISTRANT IS NOT A NAMED RESPONDENT, AND DENIES THE ALLEGATIONS IN THE STATEMENT OF CLAIM. CLAIMANT IS TEMPORARILY WITHOUT LIQIDITY DUE TO THE FROZEN ARS MARKET BUT HAS NOT SUFFERED REALIZED DAMAGES. IN ADDITION TO MONETARY PAYMENT THE FIRM HAS AGREED TO BUY BACK CALIMANT'S ARS OVER TIME. REGISTRANT WAS NOT ASKED TO CONTRIBUTE.
Date: August 05, 2002 Category: Customer Dispute Allegations: THE SONS OF CLIENT ALLEGE THAT BROKER JOHN HARRINGTON MADE UNSUITABLE RECOMMENDATIONS, ALLEGED DAMAGES ARE UNSPECIFIED.
Date: June 21, 2002 Category: Customer Dispute Allegations: THE CLAIMANT ALLEGES THAT MR. HARRINGTON RECOMMENDED UNSUITABLE INVESTMENTS FOR HIS PORTFOLIO. THE CLAIMANT SEEK DAMAGES OF IN EXCESS OF $2,000,000. Damage Amount Requested: $2,000,000.00 Damages Granted: $54,000.00 Broker Comment: ALL RELIEF WAS DENIED WITH THE EXCEPTION OF THE $500 FILING FEE REIMBURSEMENT AND A NOMINAL COMPENSATORY AWARD OF $54,000, WHICH CIBC BELIEVES WAS ATTRIBUTABLE TO CLAIMANTS' LEGAL COSTS.
Date: December 11, 2001 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES THAT MR. HARRINGTON, AND UNNAMED OTHERS, FAILED TO PROTECT HER FROM THE LOSSES SHE SUSTAINED THROUGH HER INVESTMENT IN ROXBURY, AN OUTSIDE MONEY MANAGER.
Date: August 14, 2001 Category: Customer Dispute Allegations: THE CLAIMANT COMPLAINS ABOUT THE PERFORMANCE OF AN ACCOUNT MANAGED BY ROXBURY CAPITAL MANAGEMENT. THE CLAIMANT SEEKS REIMBURSEMENT FROM ROXBURY IN EXCESS OF $5000 IN FEES PAID TO ROXBURY CAPITAL MANAGEMENT. Damage Amount Requested: $5,000.00
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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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