Maria De Los Angeles Leon, also known as Maria D. Del Real and Maria DelReal, formerly of Grand Rapids, Michigan, was barred by Financial Industry Regulatory Authority (FINRA on September 20, 2024. FINRA alleged that Leon violated Rules 8210 and 2010 by refusing to provide requested information, documents, or testimony during an investigation. This investigation followed a Form U5 submitted by PNC Investments, which stated Leon had been discharged for allegedly misappropriating customer funds. Letter of Acceptance, Waiver, and Consent (AWC) No. 2024083243101.
Without admitting or denying the findings, Leon consented to a sanction that permanently bars her from associating with any FINRA member firm in any registered capacity. The permanent bar took effect on September 20, 2024.
On August 13, 2024, PNC Investments terminated Leon’s employment, citing allegations of misappropriating customer funds while he was associated with the securities broker dealer.
Most recently, Leon was registered with PNC Investments in Grand Rapids, Michigan, from June 2022 until September 2024. Before her time at PNC, Leon was associated with J.P. Morgan Securities LLC in Chicago, Illinois, from April 2015 to June 2022.
