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Neil Greenspan Allegedly Misrepresented Investments

Neil Greenspan (CRD #: 4720344), a broker registered with Oppenheimer & Co., is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 11, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On July 10, 224, an investor alleged that Neil Greenspan misrepresented the liquidity of their investments. The dispute was denied, but investors should know that firms can deny disputes without any external review. Investors can still recover losses following a denial. 

Misrepresentation 

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

Background Information 

Neil Greenspan 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 50 Municipal Advisor Representative Qualification Exam 
  • Series 7 General Securities Representative Examination 

During his 20 years of experience, he has registered with three firms: 

  • Oppenheimer (CRD #: 249) 
  • Barclays Capital (CRD #: 19714) 
  • Lehman Brothers (CRD #: 7506) 

Kurta Law Can Help 

If you worked with Neil Greenspan and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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 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. Do not let securities fraud go unchecked. Start your recovery process today.