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Peter Wagner Of Oppenheimer & Co. Inc. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Peter Wagner of Oppenheimer & Co. Inc.?

Peter Wagner

Peter Wagner (CRD #1003080) who is currently registered as a broker and investment adviser with Oppenheimer & Co. Inc. and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Peter Wagner was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Peter Wagner Customer Complaints

Peter Wagner has been the subject of 4 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by UBS Financial Services in favor of the investors. The other 3 customer complaints were denied by Peter Wagner’s current and former employers and, to date, no further action has been taken by any of the customers.

Allegations Against Peter Wagner

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Failure to follow client’s instructions and purchases of securities.
  • Breach of fiduciary duty, negligence, breach of contract, breach of implied covenant of good faith and fair dealing, misrepresentation and failure to recommend suitable investments.
  • Unsuitable investment recommendations to purchase structured notes.

Peter Wagner Red Flags & Your Rights As An Investor

Of course, Peter Wagner did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Peter Wagner at Oppenheimer & Co. Inc. on alert to review carefully the activity and performance of their accounts and question whether Peter Wagner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Oppenheimer & Co. Inc. Due To Peter Wagner

If you have questions about Oppenheimer & Co. Inc. and/or Peter Wagner and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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