Leslie Ann Lauer of Columbus, Ohio, a stockbroker registered with UBS Financial Services Inc., is the subject of a customer initiated investment related complaint filed on February 22, 2024, in which the customer requested compensatory damages based upon allegations that Lauer did not act in the trustee’s best interest by making misleading or false statements about hedge funds and failing to disclose fees during the time that Lauer was associated with UBS Financial Services Inc. The securities broker dealer denied this complaint.
This is not the first time that Lauer has been referenced in a customer initiated investment related dispute concerning Lauer’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Lauer is also referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $500,000.00 to $1,000,000.00 in damages based upon allegations that Lauer made misrepresentations and unsuitable recommendations when Lauer was associated with UBS Financial Services Inc. FINRA Arbitration No. 23-03550 (December 15, 2023). This matter remains pending.
Lauer has been associated with RBC Capital Markets LLC in Atlanta, Georgia since August 18, 2023. Lauer was associated with UBS Financial Services Inc. in Columbus, Ohio from May 2, 2006, to August 29, 2023.
