Stephen Brown of Fort Lauderdale Florida a stockbroker formerly registered with Oppenheimer Co. Inc. is referenced in a customer initiated investment related written complaint on July 29, 2016 in which the customer requested more than $5,000.00 in damages based upon allegations that (1) the customer’s assets were not appropriately diversified and (2) overly speculative mutual fund and over-the-counter equities transactions were effected in the customer’s account while Brown was associated with the firm.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that previously, a customer initiated investment related complaint involving Brown’s conduct was settled for $26,500.00 in damages founded on accusations that unauthorized trades were effected in the customer’s account while Brown was associated with Fahnestock Co. Inc.
Brown’s registration with Oppenheimer Co. Inc. has been terminated as of September 16, 2016.
