MARK RAYMOND REYNOLDS

MARK RAYMOND REYNOLDS is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 500 W. MADISON, SUITE 4000, CHICAGO, IL, 60661.

MARK RAYMOND REYNOLDS has worked at OPPENHEIMER & CO. INC. since August 31, 2005

Disclosure History

MARK RAYMOND REYNOLDS has 2 Disclosure Event(s).

Date: April 26, 2012
Category: Judgment / Lien
Judgment/Lien Amount: $14,326.06
Judgment/Lien Type: Civil
Broker Comment: MONTHLY INSTALLMENTS HAVE BEEN PAID SINCE APRIL OF 2012.

Date: December 28, 2011
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES, INTER ALIA, MISREPRESENTATIONS REGARDING THE SALE OF AUCTION RATE SECURITIES
Damage Amount Requested: $1,300,000.00
Settlement Amount: $1,300,000.00
Broker Comment: REGISTRANT IS NOT NAMED AND DENIES THE ALLEGATIONS IN THE STATEMENT OF CLAIM. CLAIMANT IS TEMPORARILY WITHOUT LIQUIDITY BUT HAS NOT SUFFERED REALIZED LOSSES FROM THE FROZEN ARS MARKET. SETTLEMENT INCLUDES THE FIRM'S AGREEMENT TO BUY BACK CLAIMANT'S ARS OVER TIME UNLESS CLAIMANT'S ARS ARE REDEEMED IN WHOLE OR IN PART BY THE ISSUER BEFORE AGREED-UPON DATE OF REPURCHASE.

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 MARK RAYMOND REYNOLDS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.