Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Leston (Leston), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include one customer complaint, one tax lien, alleging that Leston recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 30, 2024.
LESTON ENGAGED IN DISHONEST OR UNETHICAL BUSINESS PRACTICES \<char_lb_r>\, IN THE SECURITIES BUSINESS. LESTON ENGAGED IN DISHONEST OR UNETHICAL BUSINESS PRACTICES IN THE INSURANCE BUSINESS. LESTON IS THE SUBJECT OF AN ORDER OF A SELF-REGULATORY \<char_lb_r>\, ORGANIZATION EXPELLING HIM FROM A SELF-REGULATORY ORGANIZATION.
