Tag Archives: Robert Francis Leis

Raymond James Broker Fined For Unauthorized Trading

November 28, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Robert Francis Leis of Louisville, Kentucky, a stockbroker formerly registered with Raymond James Financial Services, Inc., has been fined $50,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he placed trades in customers’ investment accounts without their consent. Letter of Acceptance, Waiver and […]

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