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
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