DIANA M LEON is currently employed as a Broker and/or Investment Adviser at CAPITAL ONE INVESTING, LLC located at 8676 Georgia Ave, Silver Spring, MD, 20910.
DIANA M LEON has worked at CAPITAL ONE INVESTING, LLC since September 21, 2015
Disclosure History
DIANA M LEON has 1 Disclosure Event(s).
Date: April 20, 2015 Category: Employment Separation After Allegations Firm Name: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Termination Type: Discharged Allegations: CONDUCT INVOLVING MAKING INACCURATE ENTRIES OF REQUIRED ACCOUNT REVIEWS IN AN INTERNAL TRACKING SYSTEM. Broker Comment: I was informed by Merrill Lynch that it believed that I had not been meeting with clients by telephone or in person for account reviews because some of the meetings were not recorded. Merrill Lynch also believed that the notes of some client meetings were boilerplate. I dispute these erroneous conclusions. I scheduled and held account review meetings with clients on a regular basis as specified by Merrill Lynch. There was no firm policy or rule that meetings had to be recorded. I inputted notes of meetings into Merrill Lynch's internal tracking system using a template I developed several years ago which helped me to addresss the benchmark issues desired by Merrill Lynch to be covered with my clients. All of my compliance reviews were completed on a timely basis.
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