Articles Tagged with Leroy Born

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leroy Born (Born), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Born recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 18, 2025.

Client complains that Financial Advisor made unauthorized investments and demands reversal of transactions and compensation for lost earnings. (6/28/2024 – 2/18/2025)

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leroy Born (Born), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Born recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 23, 2024.

Customer complained that recommendation to reposition portfolio resulted in unsuitable risk exposure and lack of sufficient diversification. (9/17/2024 – 10/23/2024)