There are options for clients of former Essex National Securities, Inc. broker Roberto Leslie (CRD# 2755940) regarding who is accused of unsuitable investment recommendations. He has been registered with Infinex Investments, Inc. in Brooklyn, New York since 2020. Previously, he was registered with Essex National Securities, LLC in Brooklyn, New York, from 2010 to 2016. He was registered with several other firms between 2002 and 2010. He was terminated from Citicorp Investment Services in Long Island City, New York, from 1998 to 2002, when he was terminated regarding, individual was being investigated for failure to follow standards and policies regarding delivery of annuity contracts to customers.”
Roberto Leslie Customer Complaints
He has been the subject of eight customer complaints between 2017 and 2023, three of which were denied, according to his CRD report:
September 2022. “Rep placed conservative investor into an unsuitable investment.” The customer sought $100,000 in damages, and the case was settled for $40,000. The complaint was regarding real estate securities, and it took place while he was registered with Essex National Securities, Inc.
June 2022. “Clients allege the recommendation of a Northstar Off-Shore Annuity was unsuitable.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint was regarding fixed annuities, and it took place while he was registered with Infinex Investments, Inc.
July 2021. “The rep did not explain the risks of a private REIT but assured the investors the money was safe.” The customer sought $19,000 in damages, and the case was settled for $14,999. The complaint was regarding real estate securities, and it took place while he was registered with Essex National Securities, Inc.
May 2021. “Representative did not explain the risks associated with a non-traded REIT.” The customer sought $100,000 in damages, and the case was settled for $75,000.
July 2019. “client claims he was seeking liquid investments and that REIT investments were not suitable for him.” The customer sought $39,240.88 in damages, and the case was settled for $80,000. The complaint was regarding non-traded real estate investment trusts (REITs), and it took place while he was registered with Essex National Securities, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Essex National Securities, Inc. may be liable for investment or other losses suffered by Roberto Leslie’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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