Tag Archives: David Lerner Associates Inc

David Lerner Of David Lerner Accused Of Unsuitable Trading

March 18, 2021  |   Posted by :   |   Breach of Fiduciary Duty, FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on David Lerner Of David Lerner Accused Of Unsuitable Trading

Daniel Todd Lerner of White Plains New York a stockbroker currently registered with David Lerner Associates Inc. is referenced in a customer initiated investment related written complaint on January 22, 2021 where the customer requested $100,000.00 in damages supported by accusations that they had been placed into unsuitable mutual funds and direct investments when the […]

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David Lerner Stockbroker Sanctioned For Sale of Unuitable Investments

March 08, 2021  |   Posted by :   |   Alternative Investments, Failure to Conduct Due Diligence, Investment and Regulatory News, Over Concentration   |   Comments Off on David Lerner Stockbroker Sanctioned For Sale of Unuitable Investments

Charles Abad Santos Bonilla of Boca Raton Florida a stockbroker formerly registered with David Lerner Associates Inc. has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Bonilla made unsuitable recommendations to customers concerning alternative investments. Letter of Acceptance […]

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Investors File Claim Against David Lerner Of David Lerner

April 23, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Failure To Supervise, Private Placement Fraud, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Investors File Claim Against David Lerner Of David Lerner

Daniel Todd Lerner of New York New York a stockbroker registered with David Lerner Associates Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought unspecified damages based upon accusations that (1) David Lerner Associates failed to supervise Daniel Lerner (2) a fiduciary duty that was owed to the […]

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Investors Sue David Lerner For Fraud

Robert Spencer Cavanagh (also known as Bob Holt) of Syosset New York a stockbroker currently registered with David Lerner Associates Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $38,500.00 in damages based upon allegations that (1) the customer was defrauded by making investments through the stockbroker (2) […]

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David Lerner Associates Accused Of Unauthorized Trading

Martin Kevin Walcoe of Syosset New York a stockbroker currently employed by David Lerner Associates Inc. is referenced in a customer initiated investment related written complaint on August 9, 2016 where the customer requested unspecified compensatory damages founded on accusations that unauthorized trades of equities and government-debt products had been executed in the customer’s account. […]

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David Lerner Associates Sued By Investor For Fraud

Scott Mass of Syosset New York a stockbroker currently employed by David Lerner Associates Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $500,000.00 in damages based upon accusations that (1) contractual obligations were breached (2) the customer’s account was handled negligently (3) fiduciary duties had been […]

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David Lerner Associates Sued By Customer For Omissions

Robert Spencer Cavanagh of Syosset New York is a stockbroker currently registered with David Lerner Associates, Inc. who is the subject of a customer initiated investment related arbitration claim where the customer sought $160,000.00 in damages supported by accusations that (1) omissions and misrepresentations had been made to the customer and (2) municipal debt transactions […]

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David Lerner Associates Sued For Misrepresentation

December 15, 2017  |   Posted by :   |   Municipal Bond Fraud   |   0 Comments

David Alan Beckerman, of Westport, Connecticut, a stockbroker currently registered with David Lerner Associates, Inc., is the subject of a customer initiated investment related written arbitration claim, in which the customer sought $100,000.00 in damages based upon accusations that misrepresentations were made to the customer, and municipal debt product transactions were effected in the customer’s […]

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FINRA Securities Arbitration Filed Against David Lerner Associates

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 […]

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