LOUIS SHERMAN BORDMAN is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at MISSION FARMS, 10601 MISSION ROAD 3RD FLR, LEAWOOD, KS, 66206.
LOUIS SHERMAN BORDMAN has worked at OPPENHEIMER & CO. INC. since December 19, 2007
Disclosure History
LOUIS SHERMAN BORDMAN has 1 Disclosure Event(s).
Date: October 30, 1987 Category: Customer Dispute Allegations: CUSTOMER ALLEGED HE HAD NOT AUTHORIZEDCLOSING OUT OR ROLLING OUT OF A SHORT PUT POSITION (OEX) WHILEHE WAS OUT OF TOWN THE WEEK OF 10/11/87 TO 10/18/87. HE TOLD MEON 10/9/87 HE WOULD BE GONE FOR ONE WEEK AND TO ROLL OUT OF THESPECIFIC PUTS OR TO CLOSE THEM OUT. ON 10/19/87 THE CLEARINGHOUSE LIQUIDATED THE ACCOUNT WITH A RESULTING $289,000 DRUNSECURED. Damage Amount Requested: $289,000.00 Settlement Amount: $250,000.00 Broker Comment: VSR DECIDED TO SETTLE THE SUIT. I CONTRIBUTED$50,000 TO THE SETTLEMENT AND AM ON SOME NOTES FOR THE BALANCE,WITH [THIRD PARTIES].NOT PROVIDED
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