Brad Feinstein Was Sanctioned by FINRA For Failing to Comply with a Settlement Agreement

Brad Feinstein

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 21, 2017 indicate that former New York-based Garden State Securities broker/adviser Brad Feinstein has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Feinstein (CRD# 1983465).

Brad Feinstein has spent seventeen years in the securities industry and was most recently registered with Garden State Securities in New York, New York (2013-2014). Previous registrations include Merriman Capital in New York, New York; Murphy & Durieu in New York, New York; Lighthouse Financial Group in New York, New York; Oppenheimer & Company in New York, New York; Banc of America Investment Services in New York, New York; UBS Financial Services in New York, New York; Morgan Stanley DW in Purchase, New York; and Prudential Securities in New York, New York. He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 65 (Uniform Investment Adviser Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Brad Feinstein has received one FINRA sanction and one customer complaint.

In 2014 FINRA sanctioned him following allegations he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. He was suspended from acting as a broker.

In 1997 a customer alleged Brad Feinstein, while employed at Prudential Securities, failed in his duty to ensure that the account was handled property. The complaint settled for $20,000.

If you have lost money investing with Brad Feinstein, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.