Last Updated: November 2025 — White Plains, NY
Here’s what you need to know about White Plains, NY stockbroker Howard G. Roth:
- Name: Howard Gary (G.) Roth.
- CRD number: 867754.
- Current Employer: David Lerner Associates, Inc. — Registered since 04/09/1979. Primary branch reported at 599 West Hartsdale Ave., White Plains, NY 10607
- Stockbroker / Financial Advisor. Yes — FINRA General Securities Representative and Municipal Securities Representative.
- Can Broker be Sued in FINRA: Yes
- Current Customer Dispute Seeks Total Damages of: $125,000
If you’ve sustained damages from Mr. Roth, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Howard G. Roth as Your Stockbroker?
Pending FINRA arbitration (Case No. 25-01773) d
Allegations of Broker Misconduct Against Howard G. Roth
- Unsuitability — recommending or selling a private placement that does not fit a customer’s objectives, risk tolerance, or liquidity needs may violate FINRA Rule 2111 (Suitability).
- Failure to act in the customer’s best interest / Breach of fiduciary-type duties — recommendations to retail customers after June 30, 2020 are evaluated under SEC Regulation Best Interest (Exchange Act Rule 15l-1).
- Misrepresentation / Omission of material facts — deceptive practices are prohibited by FINRA Rule 2020 and FINRA Rule 2010.
- Failure to supervise — firms must establish and enforce written supervisory procedures under FINRA Rule 3110; supervisory failures are often alleged in private-placement cases even when the individual broker is also named.
Energy 11 LP– A Delaware non-publicly traded limited partnership established in 2013 to develop producing wells in the Sanish Field in North Dakota. In 2020 Energy 11 suspended investor distributions. In 2021 they reported an estimated per unit valuation of $7.23, which is less than 50% of the initial offering price. In 2022 Energy 11 LP reported $45 million of unpaid distributions. In previous similar offerings David Lerner Associates was sanctioned over the sales of these proprietary products including Apple REITs. David Lerner Associates has 19 prior regulatory events according to FINRA.
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other David Lerner Associates brokers
If you have suffered investment losses in an account handled by Howard Gary Roth, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.