Tag Archives: David Lee Reynolds

Principal Securities Accussed Of Fraud By Investors

David Lee Reynolds of Modesto California a stockbroker formerly registered with Principal Securities Inc. is the subject of a customer initiated investment related written complaint on March 6, 2019 where the customer requested $100,000.00 in damages founded on accusations that (1) Reynolds committed elder abuse (2) Reynolds placed the customer in investments including private placements […]

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FINRA Bars Allstate Stockbroker For Obstruction

David Lee Reynolds, of Modesto, California, a stockbroker formerly employed with Allstate Financial Services, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he failed to cooperate in an investigation into allegations that he misappropriated customer funds. Letter of Acceptance, Waiver and Consent, […]

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