Leslie Lynn King (CRD #5280908, Prosper, Texas) Alternate Names: LESLIE LYNN CAMPBELL
was assessed a deferred fine of $10,000, required to pay $50,000 in deferred disgorgement of commissions received, plus interest, and suspended from association with FINRA members for two years for allegedly aiding and abetting a non-registered person to participate in the securities business.
FINRA's findings stated that even though King knew that the individual was not registered with FINRA and was not associated with a FINRA member firm, she assisted the non-registered person by executing securities transactions that the non-registered person had brokered with brokers, traders or public customers. For these transactions, King then paid the non-registered person accordingly.
During the relevant time period and in connection with her securities business, King’s member firm paid her $1,790,361 in net commissions; and she, via her operating company, paid at least $606,365 to the non-registered person.
The suspension is in effect from April 6, 2015, through April 5, 2017.
(FINRA Case #2010025087302)
Leslie Lynn King was previously registered with the following firms:
09/2011 - 12/2012 OCEAN CROSS CAPITAL MARKETS LLC (CRD# 156256) - PLANO, TX
07/2009 - 09/2011 SOUTHRIDGE INVESTMENT GROUP LLC (CRD# 45531) - PLANO, TX
06/2009 - 07/2009 WFG INVESTMENTS, INC. (CRD# 22704) - PLANO, TX
09/2008 - 06/2009 SOUTHWEST TEXAS CAPITAL, L.L.C (CRD# 104200) - PLANO, TX
This summation from FINRA's Disciplinary Report May 2015, ends here.
If you have become a victim of trading by an unauthorized broker, or excessive trading by your broker in your accounts, please contact Soreide Law Group for a free consultation with an attorney at 888-760-6552.
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