FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
MICHAEL EDWARD FEELEY (Michael Feeley) CRD#: 4439025, formerly with Northwestern Mutual of West Palm Beach, Florida, was suspended by FINRA for 45 days and fined $7500 for allegedly making approximately 30 phone calls impersonating his clients or his supervisor.
According to the FINRA report, without admitting or denying FINRA’s findings, Michael Feeley consented to the sanctions and to the entry of findings that he allegedly impersonated insurance customers and his supervisor at his member firm during calls made to an insurance company to obtain information about existing insurance contracts.
FINRA’s findings stated that Michael Feeley allegedly posed as the customers on calls to the insurance company's customer service department in order to obtain information about the customers' insurance contracts. The policy information was requested, however, none of the customers allegedly authorized Feeley to impersonate them.
Also, according to FINRA, Michael Feeley allegedly posed as his firm supervisory when the supervisor was the only servicing representative of record with the insurance company and he had an urgent need for information about the terms or status of a customers' policy. Feeley's firm supervisory did not authorize Michael Feeley to impersonate him.
According to FINRA’s BrokerCheck, Michael Feeley has 3 Disclosures on his FINRA CRD report. One of the Disclosures is an “Employment Separation After Allegations.” Feeley was “permitted to resign” from Northwestern Mutual following allegations that, “The registered representative was permitted to resign while under internal review for having, on multiple occasions, posed as clients during telephone calls made to another financial institution.”
Feeley is not currently listed as a broker or investment advisor. He was in the securities industry for 5 years and was listed with 3 firms, the most recent below:
02/03/2017 - 07/16/2019 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC - WEST PALM BCH, FL
09/11/2014 - 07/23/2015 NORTHWESTERN MUTUAL INVESMENT SERVICES, LLC – PALM BEACH GARDENS, FL
If you’ve experienced financial losses due to the actions or recommendations of broker, Michael Feeley formerly with Northwestern Mutual Investment Services of West Palm Beach, Florida, contact the Pompano Beach, Florida-based Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA on a contingency fee basis—no fee to you if no recovery.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
James Simmons (CRD 2438224) says he is not a respondent in a pending arbitration that appears on his BrokerCheck report. A claimant filed it on September 15, 2026, and the disclosure names Alexander Capital as the firm. The allegations are unproven, and no arbitrator has ruled on them. His statement disputes the claimant's account.
Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.
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