FINRA fines David Lerner Associates for alleged rule violations
David Lerner Associates, Inc has agreed to pay a fine of $15,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
David Lerner Associates
FINRA orders David Lerner Associates to pay $1M in restitution
From January 2015 through November 2019, DLA’s representatives recommended two
illiquid, proprietary limited partnerships to thousands of customers.
