Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Maria Leon (Leon) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Leon was employed by Pnc Investments at the time of the activity. If you have been a victim of Leon’s alleged misconduct our firm may be able to assist you in recovering funds.
FINRA BrokerCheck shows a final customer complaint on September 20, 2024.
Without admitting or denying the findings, Leon consented to the sanction and to the entry of findings that she refused to provide information and documents or to appear for on-the-record testimony requested by FINRA in connection with its investigation into the circumstances surrounding the Form U5 filed by her member firm. The findings stated that the firm submitted the Form U5 disclosing that it had discharged Leon during an investigation into misappropriation of customer funds.
