Investors potentially experienced sales practice violations by securities broker Jay Martin Spieler [CRD: 1072642, Coral Gables, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jay Spieler has worked for Oppenheimer Co. Inc. since January 3, 2003, and has been registered there as a financial advisor since April 28, 2006. See the following information to discover more about Spieler’s disclosures.
Notably, on March 12, 2025, an Oppenheimer Co. Inc. client filed FINRA Arbitration No. 25-00506 about Jay Spieler. Primarily, the client alleged that Spieler breached his fiduciary duty and was negligent in connection with a liquidation of a hedge fund investment that occurred in 2022. For this reason, the client allegedly sustained damages. As a result, the client requested $300,000 in compensation from Oppenheimer Co. Inc. or Spieler. BrokerCheck shows that this arbitration is pending a resolution.
Also, a client of Oppenheimer Co. Inc. contested Spieler’s sales practices by filing FINRA Arbitration No. 15-01241. Allegedly, Spieler breached a contract, violated FINRA rules, breached his fiduciary duty, was negligent, engaged in misrepresentations or omissions, and violated Florida law. It appears that Oppenheimer Co. Inc. allegedly caused the client to sustain damages associated with oil and gas investments, stocks, real estate securities, and limited partnerships. Therefore, FINRA Arbitrators issued an Award dated October 21, 2016 compelling Oppenheimer Co. Inc. to compensate the client in the amount of $13,050.
Do you need clarification on any investment losses relating to Jay Spieler? Contact Soreide Law Group at (888) 760-6552 or online and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, our securities attorneys represent investors on a contingency fee basis and advance all costs. Spieler and brokerage firms Spieler worked for deny allegations of sales practice violations.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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