Leslie George Markus Jr., of Center Valley, Pennsylvania, a stockbroker currently registered with Lincoln Investment, is the subject of a Financial Industry Regulatory Authority (FINRA) Investigation, which has been initiated on November 16, 2016, concerning Markus’ possible unauthorized trading in violation of FINRA Rule 2010; inaccurate entries in the firm’s records and books in violation of FINRA Rules 2010 and 4511; and false statements to FINRA personnel in violation of FINRA Rules 2010 and 8210. FINRA Examination No. 2015047069701 (Feb. 3, 2017).
FINRA Public Disclosure reveals that on September 2, 2015, Markus was terminated from former employer, Ameriprise Financial Services, Inc. based upon allegations that he failed to comply with the firm’s disciplinary policies, and effected mutual fund trades in a customer’s account without authorization.
Moreover, on April 3, 2016, a customer filed an investment related written complaint involving Markus’ conduct, where the customer requested $13,154.60 in damages supported by allegations of misrepresentation regarding the terms and conditions of a variable annuity investment purchased by the customer while Markus was associated with Multi-Financial Securities Corporation.
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