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WARNING! Impending Investigation–RANDY L. LESLIE, EDWARD JONES and LPL FINANCIAL

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29
Oct

WARNING! Impending Investigation–RANDY L. LESLIE, EDWARD JONES and LPL FINANCIAL

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Randy L. Leslie, Edward Jones, and LPL Financial

Have you lost money with financial advisor Randy L. Leslie from Golden, Colorado?  We are investigating allegations made against Mr. Leslie.  Randy Leslie was recently fined $7,000 by the Oregon Division of Finance and Corporate Securities.  Mr. Leslie was investigated by Oregon because he failed to disclose a number of items on his CRD report (which is generally available to the public), including failing to disclose four unsatisfied judgments and failing to disclose three compromises with creditors.  Oregon’s complaint also discloses that Leslie was terminated by Edward Jones in September 2012 for unauthorized trading in his customers’ accounts.  As part of his settlement with the State of Oregon, $4,500 of the $7,000 fine was suspended if Leslie was able to meet certain conditions.

Randy Leslie was a financial advisor and registered representative of Edward Jones from 2003 to October 2012.  He is now currently affiliated with LPL Financial, from October 2012 to the present.  Randy Leslie worked in a Denver branch office for Edward Jones, and he currently works at a Golden, Colorado branch with LPL Financial.

Broker-dealers like Edward Jones and LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  It is unlawful for an advisor to make trades in a customer’s account without their prior authorization, unless the advisor has a written agreement to do so with the customer.

When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.  Our firm has offices in Denver and the Seattle-area, and we continue to represent investors throughout the U.S.  We also have attorneys who have previously handled securities cases against LPL Financial.  If you have lost money through Randy L. Leslie, Edward Jones, or LPL Financial and want to hear about all of your legal options, please visit https://www.israelsneuman.com or call us at 720-599-3505.

Click here to view FINRA AWC regarding Randy L. Leslie:  Leslie OR AWC

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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