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HOWARD FEINMEL
HOWARD FEIMEL
CRD#: 1330613
PR
Previously Registered Broker
Registration History
1986198819901992199419961998200020023 FIRMS1992 - 1992 (<1 year)2 FIRMS2000 - 2000 (<1 year)2 FIRMS2001 - 2001 (<1 year)BLH ROSS & COMPANY, INC. (CRD# 37920)1996 - 1998 (2 years)BPCM SECURITIES LIMITED, L.P. (CRD# 28761)1995 - 1995 (<1 year)BJW CHARLES SECURITIES,INC. (CRD# 33832)1994 - 1995 (<1 year)BD. BLECH & COMPANY, INCORPORATED (CRD# 26063)1994 - 1994 (<1 year)BMEYERS POLLOCK ROBBINS, INC. (CRD# 13436)1993 - 1994 (1 year)BJ. GREGORY & COMPANY, INC. (CRD# 14892)1993 - 1993 (<1 year)BJ. W. GANT & ASSOCIATES, INC. (CRD# 7963)1989 - 1992 (3 years)BJ. W. GANT & ASSOCIATES, INC. (CRD# 7963)1987 - 1992 (5 years)BJ. T. MORAN & CO., INC. (CRD# 15655)1988 - 1989 (1 year)BMICHELIN AND COMPANY, INC. (CRD# 14447)1985 - 1987 (1 year)
Disclosure(s)
View By:
10/21/1986
Regulatory
Final
Previous Registration(s)
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B
02/26/2001 - 11/15/2001 INTERNATIONAL CAPITAL GROWTH LLC (CRD#:41040)
FINRA expelled the firm on 07/11/2008
BOCA RATON, FL
B
02/26/2001 - 07/06/2001 DALTON KENT SECURITIES GROUP, INC. (CRD#:38813) NEW YORK, NY
B
06/20/2000 - 11/21/2000 BARRON CHASE SECURITIES, INC. (CRD#:18969)
FINRA expelled the firm on 02/28/2002
BOCA RATON, FL
B
01/24/2000 - 06/14/2000 FIRST MADISON SECURITIES, INC. (CRD#:38820)
FINRA expelled the firm on 02/09/2001
BOCA RATON, FL
B
01/04/1996 - 09/18/1998 LH ROSS & COMPANY, INC. (CRD#:37920)
FINRA expelled the firm on 03/17/2005
BOCA RATON, FL
B
02/09/1995 - 08/24/1995 PCM SECURITIES LIMITED, L.P. (CRD#:28761) GREEN ACRES, FL
B
10/10/1994 - 02/03/1995 JW CHARLES SECURITIES,INC. (CRD#:33832) BOCA RATON, FL
B
07/30/1994 - 10/27/1994 D. BLECH & COMPANY, INCORPORATED (CRD#:26063) NEW YORK, NY
B
07/21/1993 - 07/13/1994 MEYERS POLLOCK ROBBINS, INC. (CRD#:13436)
FINRA expelled the firm on 08/10/2001
NEW YORK, NY
B
01/11/1993 - 07/14/1993 J. GREGORY & COMPANY, INC. (CRD#:14892)
B
11/05/1992 - 12/18/1992 PRIVATE INVESTORS CARTEL, LTD. (CRD#:17690)
B
09/22/1992 - 11/10/1992 FLEMMING, ANDERSON, COHEN & LEE, INC. (CRD#:23121) LITTLETON, CO
B
07/28/1992 - 09/23/1992 GKN SECURITIES CORP. (CRD#:19415) NEW YORK, NY
B
04/11/1989 - 07/27/1992 J. W. GANT & ASSOCIATES, INC. (CRD#:7963)
B
01/02/1987 - 07/27/1992 J. W. GANT & ASSOCIATES, INC. (CRD#:7963)
B
03/25/1988 - 03/31/1989 J. T. MORAN & CO., INC. (CRD#:15655)
B
02/25/1985 - 01/02/1987 MICHELIN AND COMPANY, INC. (CRD#:14447)
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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