Anthony Meere Allegedly Failed to Supervise

Anthony Meere (CRD #: 1251122), a broker registered with David Lerner Associates, is the subject of a FINRA investigation. This disclosure appears on his BrokerCheck record, accessed on October 24, 2024. Keep reading if you have questions concerning his alleged conduct. 

FINRA Investigation 

On September 20, 2024, FINRA made a preliminary determination to recommend that disciplinary action be brought against Anthony Meere following allegations that he failed to supervise unsuitable sales of illiquid securities, in violation of FINRA Rules 3110 and 2010. 

Failure to Supervise

FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. This includes appointing supervisors and providing them with Written Supervisory Procedures (WSPs).

Investor Dispute

A dispute dated December 8, 2020, alleged that Anthony Meere made omissions and misrepresentations regarding Puerto Rico bonds. 

Background Information 

Anthony Meere has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination
• Series 22TO Direct Participation Programs Representative Examination  
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products/Variable Contracts Representative Examination 
• Series 52 Municipal Securities Representative Examination 
• Series 53 Municipal Securities Principal Examiantion 
• Series 24 General Securities Representative Examination 

He is a registered broker in 45 states, D.C., and Puerto Rico. He is also a registered investment adviser in Connecticut. 

Anthony Meere has registered with Spirit of America Management Corp (CRD #: 110023) in addition to David Lerner Associates (CRD #: 5397). 

Kurta Law Can Help 

If you worked with Anthony Meere and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.