Leslie Markus Jr. Disciplined By FINRA: What Investors Can Do
According to a Disciplinary Proceeding with the Financial Industry Regulatory Authority (FINRA), Leslie Markus Jr., a former registered broker with Ameriprise, allegedly made 11 unauthorized mutual fund purchases in a customer’s account on a single day. He also allegedly entered a false note in his firm’s “client notes” system to make it appear that he…