FINRA Bars Former PNC Advisor Maria De Los Angeles Leon for Allegedly Misappropriating Funds
According to public records, The Financial Industry Regulatory Authority (FINRA) has reportedly barred financial advisor Maria De Los Angeles Leon (CRD#: 6042515) from working as a broker.
According to FINRA, Leon reportedly refused to provide information requested by FINRA in connection with its investigation into misappropriation of customer funds.
Leon was reportedly registered with PNC Investments (CRD No. 129052) from June 2022 through September 4, 2024, when the firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that it had discharged Leon “during an investigation into misappropriation of customer funds.”
FINRA BrokerCheck – Maria De Los Angeles Leon
The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA.
According to her FINRA broker report, Leon was reportedly registered with the following firms during her career, among others.
06/08/2022 – 09/04/2024 PNC INVESTMENTS (CRD#:129052)GRAND RAPIDS, MI
01/18/2018 – 06/01/2022 J.P. MORGAN SECURITIES LLC (CRD#:79)CHICAGO, IL
04/03/2015 – 03/22/2017 J.P. MORGAN SECURITIES LLC (CRD#:79)CHICAGO, IL
Regulation Best Interest
Under the “Regulation Best Interest” standard, broker-dealers are obligated to perform due diligence when evaluating any investment. If your financial advisor fails to perform due diligence on an investment before recommending it to you, they could be held liable for investment losses.
If your advisor unsuitably recommended an investment offering and you lost money, the securities attorneys at The White Law Group may be able to file a complaint for you. You may be able to recover losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment.
Free Consultation with National Securities Attorneys
If you have suffered investment losses with Maria De Los Angeles Leon and PNC Investments, the securities attorneys at the White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.
About the White Law Group
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 800 FINRA arbitration cases.
Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others.
With over 35 years of securities law experience, The White Law Group has the expertise to help investors to recover their securities fraud losses.
Last modified: November 14, 2024
