Ronald Thomas Ochal Jr. (also known as Ron Ochal), of Tampa, Florida, a stockbroker registered with Oppenheimer Co. Inc., was the subject of a customer initiated investment related complaint filed on November 10, 2023, in which the customer requested $20,188.65 in damages based upon allegations that Ochal engaged in excessive and unsuitable trading in mutual funds and stocks when Ochal was associated with Oppenheimer Co. Inc. The securities broker dealer denied this complaint.
This is not the first time that Ochal has been referenced in a customer initiated investment related dispute concerning Ochal’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Ochal was also referenced in a customer initiated investment related complaint that was settled on September 8, 2009, for $10,061.34 in damages based upon allegations that Ochal failed to supervise certain representatives in connection with the sale of mutual funds during the time that Ochal was associated with HR Block Financial Advisors Inc.
Ochal was associated with Ameriprise Financial Services LLC in Clearwater, Florida from October 5, 2009, to January 21, 2021. He has been associated with Oppenheimer Co. Inc. in Tampa, Florida since January 15, 2021.
