Response to FINRA Ruling on Muni/CMO Pricing Matter
On 4/4/12, David Lerner Associates received the opinion of the FINRA hearing panel on the municipal bond and CMO pricing matter. David Lerner Associates and Mr. Mason will appeal this decision; look forward to vindication at a fair and impartial hearing..
Statement from Joseph C. Pickard, ESQ Senior VP and General Counsel David Lerner Associates Inc.
In the last few years David Lerner Associates has been forced to deal with several FINRA regulatory matters that have been very costly to defend and very distracting to the firm's efforts for its clients. David Lerner and the management of David Lerner Associates have decided it is time to move the company past these distractions and settle with the regulators.
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