Oppenheimer & Co. Inc. Broker Daniel Mittag Investment Loss Options
Posted on Monday, May 24th, 2021 at 7:42 pm
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Oppenheimer & Co. Inc. broker Daniel Mittag (CRD# 822636). Mittag has been registered with Oppenheimer & Co. Inc. in Denver, Colorado since 2011.
Mittag has been the subject of three customer complaints between 2000 and 2021, two of which were denied, according to his CRD report:
February 2021. “Claimant asserts claims of breach of fiduciary duty, unsuitability, violations of FINRA rules, violation of section 10b of the exchange act, negligent misrepresentations, violations of 93a m.G.L. S.9, failure to supervise and negligent supervision arising from allegedly unsuitable investments and excessive trading in her account. From 2013 to 2020.” The customer is seeking $450,000 in damages and the case is currently pending. The complaint was regarding common and preferred stocks and took place while Mittag was registered with Oppenheimer & Co. Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Oppenheimer & Co. Inc. may be liable for investment or other losses suffered by Mittag’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.