Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandy Leff (Leff), currently associated with Carter, Terry & Company, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Leff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 19, 2026.
Suitability, FINRA Rule 2111, Regulation Best Interest\, Client alleges a stock he has owned for over 10 years is not suitable due to the recent decline in the security.