Kenneth Sydney Kaufman, of White Plains, New York, a stockbroker formerly registered with David Lerner Associates, Inc., has been named in a customer initiated investment related written complaint on June 10, 2015, based upon allegations that Kaufman made misrepresentations to the customer concerning real estate securities effected in the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Kaufman has been named in two additional customer initiated investment related disputes containing allegations of Kaufman’s wrongdoing while associated with David Lerner Associates, Inc. Specifically, on February 7, 2014, a customer initiated investment related arbitration claim involving Kaufman’s conduct was settled for $15,000.00 in damages based upon allegations that Kaufman effected unsuitable real estate security transactions in the customer’s account.
Additionally, on November 20, 2015, a customer initiated investment related arbitration claim regarding Kaufman’s activities was resolved for $10,000.00 in damages based upon allegations of unsuitability and misrepresentation in reference to the customer’s investment in real estate investment products.
Kaufman’s registration with David Lerner Associates, Inc. ended on March 7, 2014. Since March 25, 2017, Kaufman has been registered with MML Investors Services, LLC.
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