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Lee Eisinberg Voluntarily Resigns Following Outside Business Allegations

Apr 12, 2022 Outside Business Activities

Lee Eisinberg (CRD #:3166804), a formerly registered broker, voluntarily resigned from his position at Wells Fargo Advisors Financial Network following outside business activities allegations. This is according to his BrokerCheck record, accessed on April 5, 2022. 

FINRA Rules 3270 and 2010 

FINRA Rule 3270 requires that brokers provide written notice to their firms regarding their outside business activities.

Violations of FINRA Rule 3270 also constitute a violation of FINRA Rule 2010, which requires registered representatives to observe high standards of commercial honor and just and equitable principles of trade. 

Lee Eisinberg has two businesses listed in the Outside Business Activity of his detailed BrokerCheck report

  • Co-owner of Altamira Properties, a Real Estate Holdings Company
  • Finance Committee member of Joy Bus Diner

If Lee Eisinberg solicited you for investments in an outside business, contact Kurta Law right away: (877) 600-0098. 

Background Information

Lee Eisinberg 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 31 - Futures Managed Funds Examination
  • Series 7 - General Securities Representative Examination
  • Series 24 - General Securities Principal Examination

Besides Wells Fargo Advisors Financial Network, Lee Eisinberg has also worked with RBC Dain Rauscher (CRD#:31194) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691).

Kurta Law Can Help

If you have been victimized after working with Lee Eisinberg, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors 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.