{"id":11871,"date":"2026-01-22T12:09:20","date_gmt":"2026-01-22T17:09:20","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11871"},"modified":"2026-10-12T16:25:42","modified_gmt":"2026-10-12T20:25:42","slug":"finra-bars-broker-eric-brian-kleiner-after-unsuitable-recommendations-and-selling-away","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-eric-brian-kleiner-after-unsuitable-recommendations-and-selling-away\/","title":{"rendered":"FINRA Bars Broker Eric Brian Kleiner After Unsuitable Recommendations And Selling Away"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-12086 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/01\/Blog-Graphics53.png\" alt=\"Eric Brian Kleiner (CRD#\u00a04135180) is a previously registered broker and investment advisor, last employed with Morgan Stanley (CRD# 149777) of New York, New York. Previously, he was employed by Wells Fargo Advisors, LLC (CRD# 19616) and Prudential Securities, Inc. (CRD# 7471), both based in New York. He has been in the industry since 2000.\n\nMorgan Stanley discharged Kleiner on 3\/18\/2025 after allegations of \u201crecommendations to customers of non-firm approved and firm restricted investments, including ones in which Mr. Kleiner was also invested, failure to fully disclose outside investment, and use of personal device to engage in unauthorized disclosure of confidential, internal use only Firm information.\u201d\n\nThe allegations stem from ten customer disputes filed between April 16, 2025, and June 1, 2026, with similar claims of investment strategies that were not authorized by Morgan Stanley or in the clients' best interests. Customers continued to file disputes long after Kleiner\u2019s discharge from Morgan Stanley.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/01\/Blog-Graphics53.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/01\/Blog-Graphics53-180x120.png 180w\" sizes=\"(max-width: 300px) 100vw, 300px\" \/><\/p>\n<p>Eric Brian Kleiner (CRD#\u00a0<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/4135180\" target=\"_blank\">4135180<\/a>) is a previously registered broker and investment advisor, last employed with Morgan Stanley (CRD# 149777) of New York, New York. Previously, he was employed by Wells Fargo Advisors, LLC (CRD# 19616) and Prudential Securities, Inc. (CRD# 7471), both based in New York. He has been in the industry since 2000. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-eric-brian-kleiner-after-unsuitable-recommendations-and-selling-away\/#more-11871\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Eric Brian Kleiner (CRD#\u00a04135180) is a previously registered broker and investment advisor, last employed with Morgan Stanley (CRD# 149777) of New York, New York. Previously, he was employed by Wells Fargo Advisors, LLC (CRD# 19616) and Prudential Securities, Inc. (CRD# 7471), both based in New York. He has been in the industry since 2000. Continue [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11871","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v28.2 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker Eric Brian Kleiner Barred After Unsuitable Recommendations<\/title>\n<meta name=\"description\" content=\"Eric Brian Kleiner is a previously registered broker and investment advisor, last employed with Morgan Stanley of New York, New York.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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