Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Leslie Ann Lauer [CRD: 2941432, Columbus, Ohio]. Evidently, Lauer worked for UBS Financial Services Inc. from May 2, 2006, to August 29, 2023, before joining RBC Capital Markets LLC in Atlanta, Georgia, on August 18, 2023. Keep reading to learn more about the client disputes Lauer has faced during her time in the securities industry.
On February 22, 2024, a client of UBS Financial Services Inc. made a complaint about Leslie Lauer, alleging that Lauer made misleading or false statements about hedge funds and failed to disclose fees. The client claimed these actions were not in the trustee's best interest and asked for compensatory damages. However, UBS Financial Services denied this complaint, and no compensation was awarded.
On January 5, 2024, a client of UBS Financial Services Inc. initiated FINRA Arbitration No. 23-03550, accusing Leslie Lauer of making misrepresentations and providing unsuitable recommendations. The client asked for $500,000 to $1,000,000 in damages. This matter is pending further resolution.
Contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney for more information. Lauer and the firms she worked for deny any allegations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm handles cases on a contingency basis.
Investors potentially experienced sales practice violations by securities broker Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors […]
Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]
Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]
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