Last Updated: August 2025 — New York, NY
Here’s what you need to know about New York, NY stockbroker Eric Brian Kleiner:
- Name: Mr. Eric Brian Kleiner
- CRD Number: 4135180
- Current Status: Not currently registered with FINRA as a broker
- Function: Stockbroker / Financial Advisor
- Previously Registered With: Morgan Stanley (09/2016–04/2025); Wells Fargo Advisors, LLC (07/2003–09/2016); Prudential Securities Incorporated (04/2000–07/2003)
- Primary Location: New York, NY
- Exams Passed: SIE; Series 7; Series 63; Series 65 (no principal/supervisory exams reported)
- Discharged by a prior employer: Yes
- Highest Award or Settlement: $90,000
- Five Pending Customer Disputes
If you’ve sustained damages from Mr. Kleiner, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Eric Brian Kleiner As Your Stockbroker?
Numerous customers have filed or pursued actions against Mr. Kleiner, including:
- Pending FINRA Arbitrations (2025):
- Case No. 25-01202 (filed June 11, 2025): Alleges recommendation of outside (non‑firm) investment; damages unspecified.
- Case No. 25-00913 (filed May 5, 2025): Alleges outside, non‑authorized investment; $400,000 alleged damages.
- Case No. 25-00827 (filed April 24, 2025): Alleges outside investment strategy not authorized by firm; damages unspecified.
- Case No. 25-00550 (filed March 18, 2025): Alleges unsuitable in‑house managed/wrap strategy; damages unspecified.
- Case No. 25-00807 (filed April 21, 2025): Alleges outside investment not authorized by firm; damages unspecified.
- FINRA Arbitration Award (Case No. 09-03489): Filed June 2009; on July 12, 2010 the panel issued an award of $90,000 plus interest to the claimants in a matter alleging fraud, misrepresentation, unsuitable investments, breach of fiduciary duty, negligence, and related claims tied to mutual funds.
Morgan Stanley discharged Mr. Kleiner in March 2025 for allegations related to recommending non‑firm approved and firm‑restricted investments, failure to fully disclose outside investment, and use of a personal device to disclose confidential firm information.
Allegations of Broker Misconduct Against Eric Brian Kleiner
Reported/Pending Customer Allegations
- Recommending outside (non‑firm‑approved) investments to customers (often called “selling away”).
- Unsuitable investment strategy in a managed/wrap account
- Fraud
- Misrepresentation
- Unsuitability
- Breach of fiduciary duty
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Other Morgan Stanley Brokers
If you have suffered investment losses in an account handled by Eric Brian Kleiner, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.