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Investor Seeks $2.5 Million in Damages in Dispute with Jeffrey Hollander

Jun 6, 2022 Unsuitable Investments

Jeffrey Hollander (CRD #: 1197025), a broker registered with Morgan Stanley, is embroiled in a pending dispute, according to his BrokerCheck record, accessed on May 28, 2022. Keep reading to learn more about Jeffrey Hollander’s conduct as a broker.

Alleged Unsuitable Recommendations

On February 17, 2022, an investor alleged that, among other things, Jeffrey Hollander made an unsuitable recommendation to liquidate shares of an equity security. The client seeks $2,500,000 in damages in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their recommendations of investments and investment strategies to suit investors’ profiles. These profiles contain information such as an investor’s age, risk tolerance, and investment goals.

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

Background Information

Jeffrey Hollander has passed the following exams:

  • Series 65 - Uniform Investment Adviser Law Examination
  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 3 - National Commodity Futures Examination
  • Series 7 - General Securities Representative Examination
  • Series 10 - General Securities Sales Supervisor - General Module Examination
  • Series 9 - General Securities Sales Supervisor - Options Module Examination

Jeffrey Hollander is a registered broker in 41 states, the District of Columbia, Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in New Jersey, New York, and Texas.

He has also worked for Citigroup Global Markets (CRD#:7059) and Lehman Brothers (CRD#:7506).

Kurta Law Can Help

If you worked with Jeffrey Hollander and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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.