Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Leahy (Leahy), previously associated with First Standard Financial Company LLC, has at least 5 disclosable events. These events include 2 customer complaints, 3 regulatory events, alleging that Leahy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on April 12, 2022.
Respondent Leahy failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.