Erez Law Investigates Oppenheimer & Co. Inc. Broker Ernest Mishne
Posted on Tuesday, August 11th, 2020 at 10:20 pm
Erez Law is interested in speaking with investors who may have suffered losses due to investments with Oppenheimer & Co. Inc. broker Ernest Mishne (CRD# 2091091). Mishne has been registered with Oppenheimer & Co. Inc. in Beachwood, Ohio since 1995.
Mishne has been the subject of three customer complaints between 2001 and 2020, according to his CRD report. The most recent complaint is regarding:
January 2020. “Claimant alleges claims for Breach of Fiduciary Duty, Breach of Duty to Provide Suitable Investment Advice, Fraud and Violation of FINRA Rules. From 2/1/2017 – 8/31/2019.” The customer is seeking $440,000 in damages and the case is currently pending. The complaint was regarding common and preferred stocks, options, and margin.
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 Mishne’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.