Leonardo Max Garcia of Coral Cables Florida a stockbroker formerly employed by SunTrust Investment Services Inc. is referenced in a customer initiated investment related complaint that was settled on August 28, 2018 for $17,875.00 in damages supported by accusations that (1) the customers were not provided information concerning the features and fees of variable annuity products and (2) the customer’s financial status was misrepresented on account documentation.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on June 17, 2013, a customer initiated investment related complaint regarding Garcia’s conduct was settled to resolve allegations that the up-front charges on the customer’s mutual fund investments were never disclosed to the customer at the time that the purchase had been made.
Garcia’s registration with SunTrust Investment Services, Inc. has been terminated as of November 17, 2016. Since September 26, 2017, he has been registered with NYLife Securities LLC.
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