Tag Archives: The Leaders Group Inc.

FINRA Bars Leaders Group Stockbroker For Selling Away

Justine Zhou (also known as Jun Zhou) of Littleton Colorado a stockbroker formerly registered with The Leaders Group Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Zhou engaged in private securities transactions which included the sale of private real estate fund membership […]

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Leaders Group Admits Failure To Supervise

July 12, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

The Leaders Group Inc. a brokerage firm headquartered in Littleton Colorado has been censured and fined $95,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings of supervisory failures including the firm’s failure to supervise variable annuity suitability as well as registered representatives’ outside business activities. Letter of Acceptance Waiver and Consent No. […]

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