ANDREW STEPHEN LEONARD is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 1700 PENNSYLVANIA AVENUE NW, SUITE 700, WASHINGTON, DC, 20006-4721.

ANDREW STEPHEN LEONARD has worked at RBC CAPITAL MARKETS, LLC since August 22, 2012

Disclosure History

ANDREW STEPHEN LEONARD has 1 Disclosure Event(s).

Date: August 24, 2017
Category: Customer Dispute
Allegations: Client's son-in-law complains that the firm's cost basis records were incorrect, causing the client to pay excessive taxes on securities sold on October 31,2016. He also claims that the transactions were not authorized by the client.
Damage Amount Requested: $270,712.00
Settlement Amount: $110,000.00
Broker Comment: The firm settled this complaint in the interest of good client relations. The current financial advisor was not the financial advisor of record during the majority of the time period of the complaint and he was not required to contribute to the settlement.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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