Rafe Klein (CRD #: 2865823), a broker registered with David Lerner Associates, is involved in a new customer dispute, according to his BrokerCheck record, accessed on December 28, 2020. There are other disclosures on his record that investors should note.
On November 3, 2020, a client alleged that Rafe Klein made unsuitable investment recommendations, misrepresented certain investments, and omitted material facts. The client is seeking $300,000; the dispute is pending.
On August 31, 2020, a client alleged that Klein misrepresented certain investments, committed fraud, and executed unauthorized trades. The client is seeking $300,000; the dispute is pending.
On December 19, 2016, a client alleged that Rafe Klein recommended unsuitable investments. The client sought $96,000; the dispute settled for $20,250.
Rafe Klein has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 25 NYSE Trading Assistant Examination, and the Series 7 General Securities Representative Examination. He is registered as a broker in 17 states and is a registered investment adviser in Connecticut.
During his 23 years of experience, Klein has worked at 6 firms.
- David Lerner Associates (CRD #: 5397)
- Spirit of America Management (CRD #: 110023)
- Farina & Associates (CRD #: 32830)
- Investec Ernset & Company (CRD #: 266)
- GKN Securities Corp (CRD #: 19415)
- HD Brous & Co. (CRD #: 22062
- GKN Securities (CRD #: 19415)
If Rafe Klein was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.