MATTHEW ALAN STEINFELD

MATTHEW ALAN STEINFELD is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 825 3RD AVENUE, 17TH FLOOR, NEW YORK, NY, 10022.

MATTHEW ALAN STEINFELD has worked at OPPENHEIMER & CO. INC. since September 29, 2003

Disclosure History

MATTHEW ALAN STEINFELD has 2 Disclosure Event(s).

Date: August 11, 2011
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT A BOND PURCHASED IN HIS ACCOUNT DURING 2005 AND 2006 WAS UNSUITABLE AND MISREPRESENTED.
Broker Comment: THE CLIENT SUBSEQUENTLY SENT A SECOND LETTER TO THE FIRM IN WHICH HE STATED THAT HE WAS NOT COMPLAINING ABOUT THE CONDUCT OF HIS BROKER, BUT RATHER THE MUNICIPAL BOND ITSELF.

Date: October 02, 2002
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR (FA) MISREPRESENTED TERMS OF ANNUITIES PURCHASED FOR TWO ACCOUNTS.
Damage Amount Requested: $498,000.00 Damages Granted: $24,432.27

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.

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