Carlos Leston, Formerly with LPL Financial, Barred from Securities Industry
WEEHAWKEN, NEW JERSEY
Are you a former client of financial advisor Carlos Leston in Weehawken, New Jersey? Israels & Neuman is looking into claims made against Jose Carlos Leston. According to FINRA’s Disciplinary Database, Leston was recently barred from the securities industry by FINRA after he failed to respond to an investigation.
In September 2022, FINRA sent Leston a request for information after he was terminated by his former brokerage firm, LPL Financial. Leston was “voluntarily” terminated by LPL Financial while under an internal investigation of Leston’s participation in transactions involving senior investors.
According to BrokerCheck, Carlos Leston was a licensed financial advisor and worked in offices in Weehawken, New Jersey. Before Leston was affiliated with LPL Financial, he was licensed with PNC Investments and Wall Street Access.
As a licensed financial advisor, Leston was subject to FINRA Rule 8210, which requires advisors to cooperate in investigations. Moreover, as a FINRA member, LPL Financial must adequately supervise the conduct of its advisors like Carlos Leston. If it failed to adequately supervise Leston or other advisors, the firm could be responsible for financial losses.
Israels & Neuman is an investment fraud and securities arbitration law firm that has represented over 1,000 investors in the past, including investors against Ameriprise. We represent investors throughout the country, including in New Jersey.
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If you lost money with Carlos Leston or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.