DID ROBERTO FRANCISCO LESLIE CAUSE YOU INVESTMENT LOSSES?
Roberto Leslie Of Osaic Institutions, Inc. Has 11 Customer Complaints For Alleged Broker Misconduct
About Roberto Leslie of Osaic Institutions, Inc.?
Roberto Leslie (CRD #2755940) has extensive experience in the securities industry, currently employed and registered with Osaic Institutions, Inc., in Brooklyn, New York since July 2016. Leslie is registered in 7 U.S. states and territories and has passed 2 general industry/product exams and 2 multi-state securities law exams. Throughout his career, which began in July 1996, Leslie has worked for several firms, indicating a broad exposure across the financial services industry. His career path includes roles at prominent firms such as Essex National Securities, LPL Financial Corporation, and IFMG Securities, Inc., among others.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Roberto Leslie Customer Complaints and Reviews
Roberto Leslie has several negative disclosures:
- Customer Disputes (Total: 11)
- Settled Disputes: Includes instances where Leslie was alleged to have placed clients into unsuitable investments, such as real estate securities, leading to monetary settlements.
- Pending Disputes: Allegations include failure to properly allocate and diversify a client’s portfolio and unsuitable investment recommendations based on the client’s age and financial situation.
- Termination (1 Event)
- Citicorp (2002): Leslie voluntarily resigned while under investigation for failing to adhere to standards and policies regarding the delivery of annuity contracts to customers.
Allegations Against Roberto Leslie
- Regulatory and Termination Actions:
- 2002: Investigated for not following firm standards and policies in the delivery of annuity contracts, leading to voluntary resignation from Citicorp.
- Customer Complaints:
- Settled Disputes:
- Accusations of placing a conservative investor into an unsuitable real estate investment.
- Misrepresentations related to the safety and suitability of private REIT investments.
- Pending Disputes:
- Allegations of improper allocation and diversification of portfolios.
- Claims of unsuitable investment recommendations based on the client’s age and financial needs.
Roberto Leslie Red Flags & Your Rights As An Investor
Of course, Roberto Leslie did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Roberto Leslie at Osaic Institutions, Inc. on alert to review carefully the activity and performance of their accounts and question whether Roberto Leslie has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Osaic Institutions, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Osaic Institutions, Inc. Due To Roberto Leslie
If you have questions about Osaic Institutions, Inc. and/or Roberto Leslie and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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