ROBERT WILLARD FINLEY

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

ROBERT WILLARD FINLEY has worked at OPPENHEIMER & CO. INC. since June 09, 2008

Disclosure History

ROBERT WILLARD FINLEY has 2 Disclosure Event(s).

Date: May 22, 2000
Category: Customer Dispute
Allegations: ONE JOINT ACCOUNT HOLDER, CUSTOMER, ALLEGES IN A LETTER TO THE FIRM THAT ONE INVESTMENT, 10M COMPLETE MANAGEMENT 8% CONVERTIBLES, WAS NOT AN APPROPRIATE INVESTMENT FOR THE GENERATION OF INCOME FOR THE ACCOUNT.
Damage Amount Requested: $8,400.00
Broker Comment: 07/14/2000 FIRM REFUSES CLIENT REQUEST TO PARTICIAPTE IN LOSS; DENIED.

Date: December 29, 1980
Category: Regulatory
Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
Resolution: Decision SanctionDetails:
Sanctions: Censure
Broker Comment: Not Provided

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 ROBERT WILLARD FINLEY, click here.

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