Expert Review

Jim Berliner: Has FINRA Charged Him or not? Exposed! (Latest Update 2023)

Who is Jim Berliner (CRD#: 4347667)?

Jim Berliner is the president and chief investment officer of Westmount Asset Management, which he co-founded in 1990. Westmount is one of the largest independent wealth management organizations in Southern California, addressing the investing and planning needs of individuals, families, pension plans, foundations, and nonprofits.

He practiced law before founding Westmount, first as a civil business litigator and then as a federal criminal prosecutor, eventually becoming assistant chief of the U.S. Attorney’s Office’s Criminal Division. Berliner, a native of Los Angeles, received a bachelor’s degree from Brown University and a J.D. from Harvard Law School, where he served as Supreme Court editor of the Harvard Law Review.

This article goes further into Jim Berliner’s past, uncovering hidden disclosures and SEC litigations, as well as analyzing the implications for law.

About Westmount Asset Management 

Westmount Asset Management is a Los Angeles-based independent wealth planning and investment advisory organization. Westmount’s team aims to make its clients’ financial lives more clear and purposeful. They claim to have spent decades perfecting their method, effectively leading clients through important life events and volatile markets. 

They have introduced fresh ways of thinking and discovered unique tactics that have deepened their clients’ grasp of the capital markets along the road. They offer access to high-value possibilities in the private alternatives area, such as direct real estate, private equity, and middle market debt, in addition to socially aware strategies, to supplement their core equity and fixed income strategies.

Westmount Asset Management History

It was founded in 1990. Bob Berliner, an entrepreneur in banking, energy, and aviation, and his son Jim, a former federal prosecutor, saw an opportunity to provide fully personalized guidance from an independent source. Bob’s skill in financial markets and passion for innovation were matched with Jim’s intellectual rigor and commitment to vigorously protecting client interests in the firm they founded.

What Services does Westmount Asset Management provide?

Westmount Asset Management, as a financial advising organization, may offer several financial planning services to Americans. Financial advisors assist you in achieving your life goals, such as saving for retirement, by developing a complete financial plan and managing your investment portfolio (e.g., stocks, ETFs, mutual funds, bonds).

Financial planning services may include investment planning, tax planning, estate planning, retirement planning, or life-event planning such as preparing for college, getting married, acquiring a home, paying down debt, or planning an inheritance. For further information, read our articles on different sorts of advisors and financial advisor services.

What is SEC?

The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.

30/12/2023 Update
As of now, Jim Berliner has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.

Jim Berliner Disclosures: BrokerCheck, FINRA, And SEC

BrokerCheck report of Jim Berliner includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosures events.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.

BrokerCheck

Source: https://adviserinfo.sec.gov/individual/summary/4347667

SEC Litigations & Forms

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Source: https://secsearch.sec.gov/search?affiliate=secsearch&sort_by=&query=%27Jim+Berliner%27

Jim Berliner Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis, law, and Law360. If Jim Berliner has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Jim Berliner which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Jim Berliner on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Jim Berliner Complaints and Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Jim Berliner using the websites down below:

You can contact the law firms mentioned above if facing issues with Jim Berliner or any financial advisor.

Better Alternatives To Jim Berliner:

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
Screenshot 7

Manages Assets Worth

  • $6,427,792,177

Services

  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Screenshot 8

Manages Assets Worth

  • $4,465,757,285

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Screenshot 9

Manages Assets Worth

  • $302,000,000

Services

  • Financial planning
  • Portfolio management

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