Violation Tracker Individual Record
NASD fined David Lerner Associates, Inc. $115,000 for misleading marketing materials, including radio advertising, client seminars and other communications with the public.
NASD Fines David Lerner Associates $115,000 for Misleading Advertising and Communications with the Public, PR Newswire, September 30, 2005 (via Nexis).
FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).