Jonathan Scott Leopold, of New York, New York, a stockbroker currently registered with Morgan Stanley, is the subject of a customer initiated investment related arbitration claim, where the customer sought $250,000.00 in damages based upon accusations that unsuitable over-the-counter equities and direct investment products had been sold to the customer between 2009 and June of 2016. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02620 (Oct. 2, 2017).
FINRA Public Disclosure confirms that Leopold is referenced in three more customer initiated investment related disputes pertaining to allegations of Leopold’s improper conduct while employed with Citigroup Global Markets, Inc., Morgan Stanley Smith Barney and Salomon Smith barney. Particularly, on February 13, 2003, a customer filed an investment related written complaint pertaining to Leopold’s conduct, in which the customer requested $26,587.00 in damages supported by accusations that Leopold executed unsuitable over-the-counter equity and mutual fund transactions in the customer’s account.
Subsequently, on February 24, 2010, a customer initiated investment related written complaint regarding Leopold’s activities was resolved for $75,004.77 in damages founded on allegations that misrepresentations had been made to the customer concerning municipal debt investments. Further, on July 2, 2010, a customer initiated investment related written complaint involving Leopold’s conduct was settled for $50,000.00 in damages based upon accusations that the customer’s auction rate securities transactions were induced by misrepresentations.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
