Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 12, 2016 indicate that New York-based JH Darbie & Company broker/adviser Gary Feldman has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Feldman (CRD# 1705897).
Gary Feldman has spent 21 years in the securities industry and has been registered with JH Darbie & Company in New York, New York since 2013. Previous registrations include Oberon Securities in New York, New York; Murphy & Durieu, which has been expelled by FINRA, in New York, New York; Andrew Alexander Wise & Company in New York, New York; Gemini Financial Corporation in New York, New York; and Gruntal & Company in New York, New York. He is currently not registered with any state or firm.
According to his BrokerCheck report, Gary Feldman has received one FINRA sanction and two customer complaints.
In 2012 FINRA sanctioned Gary Feldman following allegations he “sent emails to numerous individuals, many of whom he did not know, soliciting investment in an unregistered security contrary to Section 5 which prohibited Feldman from offering interests in the security to individuals through general solicitations” and that some of these emails included “numerous statements” that “failed to provide fair and balanced treatment of risks; failed to provide a sound basis for evaluation; and/or were false, exaggerated, or misleading.” He was issued a 3-month suspension and a fine of $25,000.
In 2008 a customer alleged that Gary Feldman’s firm, Grand Ridge Capital, misrepresented material facts related to a municipal bond hedge fund. The complaint settled for $7,500.
In 1991 a customer alleged Gary Feldman, while employed at Bear Stearns & Company, made unsuitable recommendations, breached his fiduciary duty, acted negligently, breached contract, and committed fraud. The complaint resulted in an award to the customer of more than $1,900
If you or someone you know has lost money investing with Gary Feldman, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.