Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Leone (Leone), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Leone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on August 22, 2024.
Th State of California Department of Insurance alleges that RR did not notify them within 30 days of a [previously reportable matter].
