Broker Joel Breiter: Three Customer Complaints

Joel BreiterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 26, 2017 indicate that New York-based Oppenheimer & Company broker/adviser Joel Breiter has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Breiter (CRD# 1212742).

Joel Breiter has spent 29 years in the securities industry and has been registered with Oppenheimer & Company in Westhampton, New York since 2014. Previous registrations include UBS Financial Services in Southampton, New York; CIBC Oppenheimer Corporation in New York, New York; and Donaldson Lufkin & Jenrette Securities in Jersey City, New Jersey. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with fourteen US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Louisiana, Minnesota, Missouri, Nevada, New Jersey, New York, Ohio, Pennsylvania and Virginia.

According to his BrokerCheck report, Joel Breiter has received three customer complaints and one pending customer complaint.

In January 2017 a customer alleged Joel Breiter, while employed at Oppenheimer & Company, made unsuitable investment recommendations. The customer is seeking $430,000 in damages in the pending complaint.

In 2008 a customer filed a complaint against Joel Breiter, while he was employed at UBS Financial Services, in connection to the sale of an auction rate security prior to the breakdown of liquidity in the market for auction rate securities. UBS agreed to repurchase the securities at par value, for $375,000.

In 2008 a customer filed a complaint against him, while he was employed at UBS Financial Services, in connection to the sale of an auction rate security prior to the breakdown of liquidity in the market for auction rate securities. UBS agreed to repurchase the securities at par value, for $250,000.

In 2008 a customer filed a complaint against him, while he was employed at UBS Financial Services, relating to the sale of an auction rate security prior to the breakdown of liquidity in the market such. UBS agreed to repurchase the securities at par value, for $175,000.

If you or someone you know has lost money investing with Joel Breiter, 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.