Eric Brian Kleiner

(CRD #4135180, Tenafly, New Jersey) October 31, 2025 – An AWC was issued in which Eric Brian Kleiner was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA during an investigation that originated from its review of the Form U5 filed by his member firm. The finding stated that the Form U5 stated that the firm discharged Kleiner due to concerns related to his recommendation of non-firm approved and firm restricted investments to customers, including ones in which he was also invested, failure to fully disclose outside investment, and use of a personal device to engage in unauthorized disclosure of confidential, internal use only firm information. (FINRA Case #2024084330501) If you have suffered losses as a result of Eric Brian Kleiner's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Eric Brian Kleiner. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at  (813) 226-3372 or email Matthew Schwartz directly at mschwartz@tslfirm.com.