Leslie Brian Flaum of Melville New York is a stockbroker formerly registered with Oppenheimer who is the subject of a customer initiated investment related arbitration claim in which the customer sought over one million one-hundred eight thousand dollars in damages based upon accusations that Flaum failed to supervise a registered representative who breached his fiduciary duties and made unsuitable investment recommendations to the customer and churned the customer’s investment portfolio of master limited partnership penny stock and equities. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02978 (Nov. 10 2017).
FINRA Public Disclosure confirms that on March 17, 2017, a customer filed an investment related written complaint pertaining to Flaum’s conduct, in which the customer alleged that Flaum failed to supervise closed end funds and equities transactions effected in the customer’s account from December 2010 to December 2016.
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