Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Roth (Roth), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Roth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $125,000.00 on September 08, 2025.
October 22, 2015 the date of the first purchase of Energy 11 to September 8, 2025 the date the SOC was received.