Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.
A structured note is a debt security, usually issued by a bank. Its return tracks an index, a single stock or a basket of assets. Many notes also carry caps, buffers or barriers that change the payout at maturity.
Payment depends on the issuer's credit, and selling before maturity can be hard. When we review a claim like this, we read the term sheet first, because the payoff rules live there. The claims on Diana Leon's report allege that the notes did not fit the customers or went unexplained.
A customer filed this arbitration on January 13, 2026, docket number 26-00076. Through counsel, she alleged that a structured note Diana Leon recommended was not in keeping with her needs and objectives. She also alleged that she did not get a full explanation of the investment.
The claim settled on September 11, 2026 for $100,000.
This complaint arrived later, on September 14, 2026. The customer's complaint against Diana Leon alleged poor advice in connection with the sale of a structured equity-linked note in November 2021. BrokerCheck lists alleged damages of $5,000.
It settled on September 24, 2026 for $30,000.
The claimants in docket number 26-00075 filed on January 13, 2026. Through counsel, they alleged that unnamed structured note investments Diana Leon recommended were not in keeping with their needs and objectives. Their claim also alleged a failure to fully explain the notes.
That case is the one that settled on September 30, 2026.
FINRA member firms must supervise the activities of their brokers. If you have questions about an account that Diana Leon handled, call Soreide Law Group at (888) 760-6552. You can also reach us online to speak with a securities attorney. FINRA arbitration is a national forum, so we represent investors in FINRA arbitration across the country. We handle these claims on a contingency fee basis. Learn how FINRA arbitration works.
This post summarizes public FINRA records, including BrokerCheck, as of October 21, 2026. Allegations in customer complaints and arbitrations are claims, not findings. A settlement is also not an admission of wrongdoing. FINRA may also update or correct these records after that date.
Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.
Dunmore, Pennsylvania broker Charles Ehnot (CRD 872769) agreed to a two-month FINRA suspension and a fine in an AWC dated August 18, 2026. According to FINRA, he willfully failed to timely amend his Form U4. The missing items were an unsatisfied tax lien and an unsatisfied judgment. Ehnot consented without admitting or denying the findings.
A customer arbitration over investments bought in 2014 appears on Randall Mason's BrokerCheck report, and it ended in an award. Mason (CRD 1758777) denied the customer's unsuitability allegations in a statement on BrokerCheck. A second customer raised similar allegations in an earlier claim, which settled. Both disputes name Parkland Securities as the firm.
Phone:
Fax: 1-954-760-6553
Email: [email protected]