Joel Eric Breiter, of Westhampton, New York, a stockbroker currently registered with Oppenheimer & Company, Inc., has been named in a customer initiated investment related written complaint on January 27, 2017, in which the customer requested $430,000.00 in damages based upon allegations that Breiter effected unsuitable over-the-counter equity transactions in the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Breiter has been identified in four additional customer initiated investment related disputes containing allegations of Breiter’s misconduct while employed with UBS Financial Services Inc. Particularly, on December 23, 2008, three customer initiated investment related complaints were settled for a total of $800,000.00 in damages based upon allegations of Breiter’s misconduct regarding the sale of adjustable rate securities in customers’ accounts.
Additionally, on February 24, 2014, a customer filed an investment related written complaint involving Breiter’s conduct based upon allegations that Breiter effected unauthorized trades in the customer’s account concerning equity and mutual fund products.
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