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 […]
Read More »
Tag Archives: Robert Francis Leis
Raymond James Broker Fined For Unauthorized Trading
November 28, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | 0 Comments