Tag Archives: Leslie George Markus Jr.

Ameriprise Broker Fined By FINRA For Unauthorized Trading

Leslie George Markus, Jr., of Center Valley, Pennsylvania, a stockbroker formerly registered with Ameriprise Financial Services, Inc. has been fined $10,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Hearing Panel Decision containing findings that Markus effected […]

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FINRA Investigates Lincoln Stockbroker For Obstruction

November 07, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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