David Phillip Brandt of Saint Louis Missouri a stockbroker currently employed by Oppenheimer Co. Inc. is the subject of a customer initiated investment related written complaint in which the customer sought damages estimated to exceed $5,000.00 in damages supported by allegations that Brandt had improperly steered the customer into investing in speculative master limited partnership products.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Brandt has been identified in two additional customer initiated investment related disputes. Specifically, on February 5, 2001, a customer filed an investment related complaint regarding Brandt’s conduct where the customer requested $40,000.00 in damages founded on allegations that while Brandt was associated with CIBC World Markets Corp., he effected investment purchases in the customer’s account that were not appropriate for the customer, causing the customer to sustain investment losses as a result.
Thereafter, on July 10, 2007, a customer filed an investment related complaint involving Brandt’s activities in which the customer sought damages estimated to exceed $5,000.00 based upon accusations of an unauthorized sale of the customer’s over-the-counter equities holdings.
Brandt has been registered with Oppenheimer Co. Inc. since January 3, 2003.
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