JOHN CHRISTOPHER LEO is currently employed as a Broker and/or Investment Adviser at PRIMARY CAPITAL, LLC located at 90 BROAD STREET, 9TH FLOOR, NEW YORK, NY, 10004.
JOHN CHRISTOPHER LEO has worked at PRIMARY CAPITAL, LLC since March 19, 2007
Disclosure History
JOHN CHRISTOPHER LEO has 2 Disclosure Event(s).
Date: February 06, 1996 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Resolution: Decision SanctionDetails: Sanctions: Suspension Broker Comment: I WAS NOT NOTIFIED BY THE NASD THAT THESUSPENSION HAD TAKEN PLACE. I WAS NOT EMPLOYED WITHAN NASDMEMBER FIRM WHEN THE SUSPENSION WENT INTO EFFECT. WHEN THEAWARD OF $3057.25 WAS POSTED AGAINST ME I WAS TOLD BY A FORMERPRINCIPLE OF F.N. WOLF THAT THE COMPANY WOULD PAY THE AWARD,AND THEY DID NOT, AND I NEVER FOLLOWED UP TO CONFIRM IF PAYMENTHAD BEEN MADE. THE SUSPENSION WAS LIFTED WHEN THE AWARD WASPAID.
Date: February 09, 1994 Category: Customer Dispute Allegations: MISREPRESENTATION NON PAYMENT OF ARBITRATIONSETTLEMENT SUSPENSION WAS A RESULT OF NON PAYMENT OFARBITRATION SETTLEMENT IN THE AMOUNT $3057.25. Damage Amount Requested: $9,266.25 Damages Granted: $3,132.25 Broker Comment: SUSPENSION OCCURED ON 2/6/96 WHEN I WAS NOTREGISTERED WITH A BROKER DEALER. WHEN I APPLIED TO REGISTERWITH A BROKER DEALER THE FINE WAS PAID AND SUSPENSION LIFTED ON7/24/96I WAS NOTIFIED BY THE NASD THAT THE SUSPENSIONHAD TAKEN PLACE. I WAS TOLD BY A FORMER PRINCIPLEOF F.N. WOLFTHAT THIS SETTLEMENT WOULD BE PAID BY F.N. WOLF, AND IT WASNOT. WHEN I REGISTERED WITH A BROKER DEALER IN JULY 1996 I WASTOLD OF THE NON PAYMENT AND SUSPENSION. I PAID THE FINE AT THETIME AND THE SUSPENSION WAS LIFTED.
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