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.
David Lerner Associates: Gender Differences- does it cost more to be a woman?
Does it cost more money to be a woman in the U.S. today than it does to be a man? A study conducted earlier this year by the FINRA Education Institute suggests that in a couple of areas the answer may be yes.
David Lerner Associates: National Financial Capability Study Reveals Shortcomings
In May, the FINRA Investor Education Foundation released its annual National Financial Capability Study.
David Lerner Associates: The difference between a power of attorney and a durable power of attorney
What are the differences between power of attorney and a durable power of attorney? Find out here.
David Lerner Associates: 3 Steps to Help Prevent Financial Fraud
Research shows older Americans are especially vulnerable to fraud. Here are three strategies to help distinguish between legitimate and fraudulent investment opportunities.
New FINRA Report: Financial Fraud Is On the Rise
Even though fraud solicitations are widespread many say they cannot identify classic red flags of financial fraud.
FINRAs Advice for Keeping Your Financial Data Secure
Identify theft has been the number one complaint reported to the FTC for 15 years running. In 2015, almost half a million cases were reported. The loss of financial data can be devastating, and it can take a long time to recover.
FINRA Study on Emotions & Financial Fraud
This week is National Fraud Awareness Week, and according to the Investor Protection Trust, almost one in five Americans over the age of 65, or nearly seven million seniors, have been taken advantage of financially. A recent study from Stanford University, FINRA, and AARP revealed that inducing strong emotions has an effect on older adults' financial decisions.
FINRA Finds Most Americans are Financially Better Off in 2016
Americans are finding it easier to pay their bills and are increasingly satisfied with their finances, but this does not apply to everyone. Minorities and young people are still feeling the pinch
FINRA Study Reveals Millennials Lack in Financial Capabilities
Given the financial challenges millennials face, the ability to make well-informed and effective financial choices is important for them. A FINRA National Study suggests that younger Americans lack the financial knowledge to make well-informed decisions and that they engage in behaviors that are detrimental to their financial health.
Cyber Security and Passwords
Online security has reached a fever pitch lately with hackers accessing political, business, and personal accounts all over the world.