Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that Florida-based Raymond James & Associates broker/adviser Henry Grinberg recently resigned from his former employer in connection to alleged rule violations and has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Grinberg (CRD# 4605039).
Henry Grinberg has spent 15 years in the securities industry and has been registered with Raymond James & Associates in Aventura, Florida since June 2018. Previous registrations include Morgan Stanley in Aventura, Florida (2009-2018); Citigroup Global Markets in Aventura, Florida (2009); and UBS Financial Services in Aventura, Florida (2003-2009). He has passed three securities industry examination: Series 66 (Uniform Combined State Law Examination), which he obtained on February 6, 2003; Series 31 (Futures Managed Funds Examination), which he obtained on June 19, 2004; and Series 7 (General Securities Representative Examination), which he obtained on January 14, 2003. He is a registered broker and investment adviser with ten US states: California, Connecticut, Florida, Illinois, New Jersey, New York, North Carolina, Oregon, Pennsylvania, and Texas. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint and two denied customer complaints, and he recently resigned from his former employer in connection to alleged rule violations.
In June 2018 he voluntarily resigned from his position at Morgan Stanley in connection to allegations he placed trades “in his own production number, as opposed to an agreed-upon joint number with another advisor.”
In 2016 a customer alleged Henry Grinberg, while employed at Morgan Stanley Smith Barney, recommended unsuitable investments. The customer sought unspecified damages in the complaint, which was denied.
In 2013 a customer alleged Henry Grinberg, while employed at Morgan Stanley Smith Barney, recommended unsuitable investments in structured products and exchange-traded funds. The customer sought $9,911 in damages in the complaint, which was denied.
In 2008 a customer filed a complaint against Henry Grinberg, while he was employed at UBS Financial Services, in connection to an investment in auction rate securities prior to the widespread breakdown in liquidity in the auction rate securities market. The complaint settled with the firm’s repurchase of the securities at par value, for $175,000.
If you or someone you know has lost money investing with Henry Grinberg, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. 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.