Investors might have sustained losses because of securities broker Alan Charles Lowenfels (also known as Charles Alan Lowenfels) [CRD: 4512765, White Plains, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lowenfels has been registered with David Lerner Associates Inc. since May 2, 2002. Keep reading for details about his disclosures.
Specifically, on October 7, 2025, a David Lerner Associates Inc. client filed FINRA Arbitration No. 25-02058 about Alan Lowenfels. Mainly, the client alleged that Lowenfels made unsuitable recommendations, made misrepresentations, and made omissions. For this reason, the client allegedly experienced damages on private placements, including Energy 11 and Energy 12. Consequently, the client requested $165,000 in compensation from David Lerner Associates Inc. or Lowenfels. It appears that this arbitration is pending a resolution.
Also, a David Lerner Associates Inc. client filed FINRA Arbitration No. 21-02189 about Alan Lowenfels. Primarily, the client alleged that Lowenfels made misrepresentations, made omissions, and made unsuitable recommendations. Because of this, the client allegedly incurred damages relating to mutual funds and private placements, including Energy 11. As a result, on June 22, 2022, David Lerner Associates Inc. settled this matter by paying the client $25,000 in damages.
Notably, a client of David Lerner Associates Inc. contested Alan Lowenfels’s sales practices by filing FINRA Arbitration No. 19-02622. Allegedly, Lowenfels made unsuitable recommendations and made misrepresentations. It appears that Lowenfels allegedly caused the client to sustain damages connected to mutual funds. Therefore, David Lerner Associates Inc. opted to settle the matter on December 31, 2020, by compensating the client in the amount of $15,000.
Are you concerned regarding investments you made with Alan Lowenfels? Contact Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Lowenfels and brokerage firms Lowenfels worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com