DID LESLIE ANN LAUER CAUSE YOU INVESTMENT LOSSES?
Leslie Lauer Of RBC Capital Markets, LLC And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct
About Leslie Lauer of RBC Capital Markets, LLC?
Leslie Lauer (CRD #2941432) showcases a concerning career trajectory with an exclusive, long-term affiliation with UBS Financial Services before moving to RBC Capital Markets, LLC in Atlanta, GA in August 2023. Despite her extensive registration across 49 U.S. states, Lauer’s lack of any principal/supervisory exam credentials calls her leadership and oversight abilities into question. Her tenure at these firms is overshadowed by a significant customer dispute.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Leslie Lauer Customer Complaint and Reviews
Leslie Lauer’s professional history includes a troubling customer dispute:
- Customer Dispute (Pending as of December 2023): The claimants allege unsuitability and misrepresentation concerning recommendations to invest in and hold an options overlay strategy from February 2018 to June 2020 while at UBS Financial Services. This case, currently in FINRA arbitration, seeks damages estimated between $500,000 and $1,000,000.
Allegations Against Leslie Lauer
Misrepresentation and Unsuitability: The pending allegations against Lauer involve claims of providing unsuitable investment advice and misrepresenting the risks and benefits of an options overlay strategy. The ongoing FINRA arbitration will further determine the veracity and impact of these claims.
Leslie Lauer Red Flags & Your Rights As An Investor
Of course, Leslie Lauer 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 Leslie Lauer at RBC Capital Markets, LLC and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Leslie Lauer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC and UBS Financial Services 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 RBC Capital Markets, LLC Due To Leslie Lauer
If you have questions about RBC Capital Markets, LLC, UBS Financial Services Inc. and/or Leslie Lauer 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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