Jorey Bernstein Subject of a FINRA Bar
Jorey Bernstein (CRD #: 1808647) has been barred by FINRA. This is according to his BrokerCheck record, accessed on October 28, 2025. Keep reading if you have questions regarding his alleged conduct.
Regulatory Action
On September 29, 2025, FINRA barred Jorey Bernstein following allegations that he refused to provide documents and information requested by FINRA in connection with its investigation into the allegations in a Form U5 filed by his member firm. The findings stated that the Form U5 allegedly disclosed that Jorey Bernstein declined to provide the firm with unredacted personal bank statements to identify payees of withdrawals from his bank accounts.
You can read a copy of the Disciplinary Action here.
Investor Allegations
On August 16, 2017, an investor alleged that Jorey Bernstein engaged in excessive trading. The dispute was settled for $220,000.
Background Information
Jorey Bernstein 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 31 Futures Managed Funds Examination
- Series 7 General Securities Representative Examination
He has registered with seven firms:
- Western International Securities (CRD #: 39262)
- Morgan Stanley (CRD #: 149777)
- CitiGroup Global Markets (CRD #: 7059)
- The Investment Center (CRD #: 17839)
- Go Trading (CRD #: 41355)
- Fidelity Brokerage Services (CRD #: 7784)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- The Investment Center (CRD #: 17839)
Kurta Law Can Help
If you worked with Jorey Bernstein 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 that 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.
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