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.

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