DAVID LERNER

12/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID LERNER ASSOCIATES, INC. (CRD No. 5397), and DAVID LERNER (CRD No. 307120), Respondents. DISCIPLINARY PROCEEDING NO. 2009020741901 HEARING OFFICER: MC AMENDED COMPLAINT AND REQUEST FOR EXPEDITED HEARING The Department of Enforcement alleges: SUMMARY 1. Since January 2011, Respondent David Lerner Associates, Inc. ("DLA") has recommended and sold over $442 million of a $2 billion non-traded

10/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID LERNER ASSOCIATES, INC. (CRD No. 5397), and DAVID LERNER (CRD No. 307120), Respondents. Disciplinary Proceeding No. 2009020741901 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 22, 2012 INTRODUCTION Disciplinary Proceeding No. 2009020741901 was filed on May 27, 2011 and amended on December 13, 2011, by the Department

Reference 2009020741901data-portal.finra.orgfinra.orgdata-portal.finra.org

08/25/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID LERNER ASSOCIATES, INC. B/D NO. 5397 SSH SECURITIES, INC. B/D NO. 43593 JOHN G. DEMPSEY, JR. CRD NO. 869304 AND DAVID LERNER CRD NO. 307120 Respondents. DISCIPLINARY PROCEEDING NO. CAF040070 HEARING OFFICER SARA NELSON BLOOM ORDER ACCEPTING OFFER OF SETTLEMENT AUGUST 25, 2005 Disciplinary Proceeding No. CAF-040070 was filed

Reference CAF040070data-portal.finra.orgfinra.org