2019063686213 Daniel Todd Lerner CRD 1255769 AWC gg (2025-1750378806902).pdf
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.