Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leslie Lauer (Lauer), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lauer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 05, 2024.
Time frame: February 2018 – June 2020 Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.