LPL Financial LLC broker Barbara Leonard (CRD# 4607044) is accused of unsuitable investment recommendations. She has been registered with LPL Financial LLC in Houston, Texas, since 2018, and Private Advisor Group, LLC in Jamaica Beach, Texas, since 2024. Previously, he was registered with H.D. Vest Advisory Services, Inc. in Houston, Texas, from 2006 to 2018.
Barbara Leonard Customer Complaints
She has been the subject of two customer complaints between 2021 and 2024, one of which was denied, according to her CRD report:
April 2024. “Customers alleged the representative recommended unsuitable investments.” The customer is seeking $125,000 in damages, and the case is currently pending. The complaint was regarding direct investment losses, and it took place while she was registered with Avantax Investment Services, 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, LPL Financial LLC may be liable for investment or other losses suffered by Barbara Leonard’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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