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Joseph Eisler Allegedly Misrepresented Trading

Nov 21, 2022 Misrepresentation

Joseph Eisler (CRD #: 2503507), a broker registered with Morgan Stanley, allegedly misrepresented trading activity, according to his BrokerCheck record, accessed on November 6, 2022. Read on if you have questions about his conduct as a broker.

Investor Disputes

On September 8, 2022, an investor alleged that, among other things, Joseph Eisler made misrepresentation(s) about the trading in the client’s account between 2011-2022. This dispute is pending.

Joseph Eisler was also named in a dispute filed in 2008 involving omissions of fact about a bond issuer on account statements and confirmations. That dispute was settled for $6.15 million.

FINRA Rule 2020

FINRA Rule 2020 bans the use of manipulative, deceptive, and otherwise fraudulent means of influencing investors’ decisions. Misrepresenting material facts related to investments violates this rule.

FINRA Rule 2010

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

Background Information

Joseph Eisler 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 7 – General Securities Representative Examination
  • Series 3 – National Commodity Futures Examination

Joseph Eisler is a registered broker in 37 states, the District of Columbia, and the Virgin Islands. He is also a registered investment adviser in New Jersey, New York, and Texas.

He previously worked for Morgan Stanley & Company (CRD#:8209).

Kurta Law Can Help

If you worked with Joseph Eisler 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.