LEE HARTZMARK is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 25550 CHAGRIN BLVD, STE 310, BEACHWOOD, OH, 44122.
LEE HARTZMARK has worked at OPPENHEIMER & CO. INC. since April 12, 1988
Disclosure History
LEE HARTZMARK has 4 Disclosure Event(s).
Date: February 23, 2017 Category: Customer Dispute Allegations: CLIENT ALLEGED IN A LETTER THAT THE UNAUTHORIZED USE OF MARGIN WAS EMPLOYED TO PURCHASE INVESTMENTS IN HIS TRUST ACCOUNT. HE ALSO INTIMATED THAT THE FINANCIAL ADVISOR HAD MANIPULATED A STOCK. SUBSEQUENTLY, THE FIRM'S LEGAL DEPARTMENT CONTACTED THE CLIENT WHO ADVISED VERBALLY THAT HE HAD NO EVIDENCE OF STOCK MANIPULATION. THE CLIENT VERBALLY CONFIRMED THAT HE DID NOT HAVE A STOCK MANIPULATION COMPLAINT, AND THAT HIS COMPLAINT INVOLVED THE UNAUTHORIZED USE OF MARGIN, UNSUITABLE INVESTMENTS, AND A FAILURE TO FOLLOW INSTRUCTIONS IN REMOVING HIM FROM MARGIN. Damage Amount Requested: $172,337.00
Date: January 03, 2007 Category: Customer Dispute Allegations: UNSUITABLE SALE OF A PRIVATE PLACEMENT DURING AN UNIDENTIFIED TIME PERIOD. Damage Amount Requested: $12,500.00
Date: September 11, 2002 Category: Customer Dispute Allegations: CLAIMANT ALLEGES BREACH OF FIDUCIARY DUTY, SUITABILITY AND UNAUTHORIZED TRADING. Damage Amount Requested: $1,000,000.00 Broker Comment: ARBITRATION DISMISSED AS MR. HARTZMARK RE-PURCHASED LIMITED PARTNER INTERESTS AND OTHER INVESTMENTS FROM CUSTOMER FOR $220,000 AT ARMS-LENGTH AND THROUGH A NEGOTIATED DISCOUNT FROM ORIGINAL SALES PRICE. NO COMPENSATION WAS PAID FOR COMPENSATORY OR OTHER DAMAGES AS INITIALLY ALLEGED BY CUSTOMER.
Date: March 30, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT INVESTMENTS MADE IN HER ACCOUNT WERE UNSUITABLE.ARBITRATION ALLEGATIONS-UNSUITABILITY OF LIMITED PARTNERSHIP INVESTMENTS FOR A 70 YEAR OLD WIDOW. Damage Amount Requested: $154,582.00 Broker Comment: ARBITRATION DISMISSED AS MR. HARTZMARK RE-PURCHASED LIMITED PARTNER INTERESTS AND OTHER INVESTMENTS FROM CUSTOMER FOR $52,500 AT ARMS-LENGTH AND THROUGH A NEGOTIATED DISCOUNT FROM ORIGINAL SALES PRICE. NO COMPENSATION WAS PAID FOR COMPENSATORY OR OTHER DAMAGES AS INITIALLY ALLEGED BY CUSTOMER.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for LEE HARTZMARK, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.