Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Klein (Klein), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Klein 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 $100,000.00 on October 28, 2025.
Unsuitability, misrepresentation and breach of fiduciary duty, May 23, 2018 the date of the first purchase of Energy 12.