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Alan Feinberg Fired from Oppenheimer & Company

Jan 19, 2023 Fired Brokers

Alan Feinberg (CRD #: 6109781), a broker registered with San Blas Securities, was fired from his previous firm, according to his BrokerCheck record, accessed on January 12, 2023. Read on to learn more about his alleged conduct as a broker.

Termination from Oppenheimer & Company

On December 9, 2022, Alan Feinberg was fired from Oppenheimer & Company for allegedly failing to follow firm policy concerning outside business activities.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to disclose any business activities they engage in outside their firm, as well as any compensation they may receive from these activities.

Other business activities

Alan Feinberg’s detailed BrokerCheck record does not currently list any outside business activities.

Termination from Morgan Stanley Smith Barney

On August 27, 2021, Alan Feinberg was fired from Morgan Stanley following allegations that he submitted transactions with production numbers inconsistent with an agreement made with another representative resulting in a shortfall of revenue being credited to the other representative.

Background Information

Alan Feinberg has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

He has also worked for Oppenheimer & Company (CRD#:249) and Morgan Stanley (CRD#:149777).

Kurta Law Can Help

If you worked with Alan Feinberg and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.