Israels & Neuman, PLC Investigates Stephen Whitman, Formerly of Oppenheimer

CHESTERFIELD, MISSOURI – Have you lost money with financial advisor Stephen Whitman, formerly of Oppenheimer in Chesterfield, Missouri?  We are looking into allegations made against Stephen Whitman. Stephen Whitman was terminated by Oppenheimer after Whitman allegedly recommended a private investment to a customer, and the customer only received a small portion back.  Whitman allegedly did not disclose this to Oppenheimer.

Stephen G. Whitman was a registered representative of Oppenheimer from 2007 to April 2021.  He has worked at branch offices in Chesterfield, Missouri.

Brokerage firms like Oppenheimer have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Ann Arbor, Missouri; Denver, Colorado; Seattle, Washington; and Phoenix, Arizona.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Missouri.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Oppenheimer.

Click to view BrokerCheck:  Whitman, Stephen BrokerCheck 6.16.21

If you lost money with Stephen Whitman or Oppenheimer, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.