David Lerner Associates, Inc. broker Howard Roth (CRD# 867754) is accused of energy sector private placement losses. He has been registered with David Lerner Associates, Inc. in White Plains, New York, since 1979.
Howard Roth Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
September 2025. “October 22, 2015 the date of the first purchase of Energy 11 to September 8, 2025 the date the SOC was received.” The customer is seeking $125,000 in damages, and the case is currently pending.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, David Lerner Associates, Inc. may be liable for investment or other losses suffered by Howard Roth’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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