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
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.
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