Daniel Todd Lerner
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/20/2025: In March 2019, Lerner recommended that a customer invest in an illiquid, proprietary limited partnership without having a reasonable basis to believe that the investment was suitable for the customer based on her investment profile. For his violation of FINRA Rules 2111 and 2010, Lerner is suspended in all capacities for two months and fined $5,000.
Reference 2019063686213data-portal.finra.orgfinra.org
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