Neil Lerner is the Subject of Allegations Concerning a Liquidity Access Line

Neil Lerner (CRD #: 836146), a previously registered broker with Morgan Stanley, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on March 1, 2024. Investors should know that this is the fifth investor dispute on his record. 

Investor Allegations 

On November 17, 2023, an investor’s attorney alleged that a liquidity access line established by the client’s deceased husband was not appropriate for the client to maintain. The dispute was denied, but investors should know that firms can deny disputes without an external review. Investors may be able to recover their losses after a denial by pursuing FINRA arbitration. 

Background Information 

Neil Lerner has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 3 National Commodity Futures Examination 
• Series 5 Interest Rate Options Examination 
• Series 15 Foreign Currency Options Examination 
• Series 7 General Securities Representative Examination 
• Series 1 Registered Representative Examination

During his 46 years of experience, Neil Lerner has registered with eight firms. These are the three most recent: 

• Morgan Stanley (CRD #: 149777)
• UBS Financial Services (CRD #: 8174) 
• CitiGroup Global Markets (CRD #:7059) 

Kurta Law Can Help 

If you have worked with Neil Lerner and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.