Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 9, 2017 indicate that California-based Western International Securities broker/adviser Jorey Bernstein is involved in a pending customer dispute and resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bernstein (CRD# 1808647).
Jorey Bernstein has spent 22 years in the securities industry and has been registered with Western International Securities in Pasadena, California since 2015. Previous registrations include Morgan Stanley in Beverly Hills, California (2009-2015); Citigroup Global Markets in Los Angeles, California (2005-2009); the Investment Center in Bedminster, New Jersey (1998-1999); Go Trading in Los Angeles, California (1997-1998); the Investment Center in Bedminster, New Jersey (1990-1997); Fidelity Brokerage Services in Smithfield, Rhode Island (1989-1990); Merrill Lynch (1988-1989); and the Investment Center (1988). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 29, 2005; Series 3 (National Commodity Futures Examination), which he obtained on January 25, 2009; Series 31 (Futures Managed Funds Examination Securities Representative Examination), which he obtained on November 11, 2008; Series 7 (General Securities Representative Examination), which he obtained on October 13, 2005; and Series 24 (General Securities Principal Examination), which he obtained on April 30, 1992. He is registered as a broker and investment adviser in California.
According to his BrokerCheck report, he has received one pending customer complaint and resigned from a former employer in connection to alleged rule violations.
In July 2017 a customer alleged Jorey Bernstein, while employed at Morgan Stanley Smith Barney, executed excessive trades in exchange-traded funds and common and preferred stock products. The customer is seeking $3,000,000 in damages in the pending complaint.
In 2015 Jorey Bernstein voluntarily resigned from his position at Morgan Stanley Smith Barney following allegations connected to outside activities and interactions with a third party.
If you or someone you know has lost money investing with Jorey Bernstein, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.