Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leslie Sprockett (Sprockett), currently associated with Stonex Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Sprockett recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $180,000.00 on September 18, 2025.
Claimant alleges respondent provided unsuitable investment advice and/or acted negligently in connection with securities transactions