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.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
Phone:
Fax: 1-954-760-6553
Email: [email protected]