Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberto Leslie (Leslie), currently associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Leslie 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 $250,000.00 on June 27, 2024.
Failure to properly allocate and diversify claimants portfolio