{"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":"2026-01-22T12:09:20","modified_gmt":"2026-01-22T17:09:20","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-9935 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/04\/FiverrLossesSmall.jpg\" 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 seven customer disputes filed between April 16, 2025, and December 5, 2025, with similar claims of investment strategies that were not authorized by Morgan Stanley or in the clients' best interests. One dispute includes a request for damages of $400,000. All seven disputes are currently pending.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/04\/FiverrLossesSmall.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/04\/FiverrLossesSmall-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>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 v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Bars Broker Eric Brian Kleiner 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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