Carlos Leston (also known as Jose Carlos Leston), of New York, New York, a stockbroker registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Leston failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No. 2022076103601 (October 19, 2022).
According to the AWC, on September 2, 2022, FINRA sent Leston a request for documents and information concerning an investigation of Leston’s involvement in transactions involving senior customers. Leston’s Form U5 also indicated that LPL was conducting a pending internal review of Leston’s participation in transactions involving senior customers.
On September 20, 2022, Leston indicated to FINRA that he had received its request but would not produce the information and documents. Therefore, Leston violated FINRA Rules 2010 and 8210.
Leston was associated with LPL Financial LLC in Weehawken, NJ, as a stockbroker from March of 2008 to September of 2022.
