FINRA Expels Carlos Leston

Soreide Law Group is investigating possible investor claims against securities broker Carlos Leston (also known as Jose Carlos Leston) (CRD: 3021614, Weehawken, New Jersey). Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Leston failed to provide information and documents to FINRA when it investigated potential FINRA rule violations. Here is a brief summary of FINRA’s allegations against Leston.

Leston Barred By FINRA For Failure To Provide Information

Supposedly, on October 19, 2022, FINRA issued Acceptance, Waiver, and Consent No. 2022076103601 sanctioning Leston for infractions. Specifically, he was barred as a securities broker. Notably, FINRA alleged that he failed to provide information and documents to FINRA when it investigated potential FINRA rule violations.

Carlos Leston Employment Information

Leston worked for LPL Financial LLC in Weehawken, New Jersey, as a securities broker from March 5, 2008, to September 30, 2022.

Damages Resulting From LPL Financial LLC Securities Carlos Leston?

Did you sustain damages because of Leston? If you have, get in touch with Soreide Law Group at (888) 760-6552 and talk with a securities attorney about a possible recovery of your losses. Soreide Law Group, who has successfully recovered money for investors throughout the United States, represents investors on a contingency fee basis and advances costs. Leston and brokerage firms he worked for deny accusations against them.