LESLIE MARVIN BOYCE is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 121 PHEASANT RIDGE, BRIDGEPORT, WV, 26330.
LESLIE MARVIN BOYCE has worked at CETERA ADVISORS LLC since October 10, 2014
Disclosure History
LESLIE MARVIN BOYCE has 2 Disclosure Event(s).
Date: December 30, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION AND SUITABILITY RELATING TO A VARIABLE ANNUITY. Damage Amount Requested: $20,253.53 Settlement Amount: $14,108.12 Broker Comment: I DO NOT KNOW THE PARTICULARS WELL ENOUGH TO COMMENT. I LEFT CHASE IN SEPTEMBER 2006 AND THE INDUSTRY IN SEPTEMBER 2007. IN THE 2 1/2 + YEARS THAT HAS ELAPSED, I HAVE NOT BEEN IN COMMUNICATION WITH THE CLIENT ... (LET ALONE, BEEN HER ADVISOR).
Date: September 28, 2007 Category: Employment Separation After Allegations Firm Name: MORGAN STANLEY & CO. INCORPORATED Termination Type: Discharged Allegations: MR. BOYCE OFFERED FINANCIAL INCENTIVE TO PROSPECTIVE CLIENT IN VIOLATION OF FIRM POLICY. Broker Comment: I OFFERED A CASH DONATION TO A NON-PROFIT ORGANIZATION IN HOPES THEY WOULD TRANSFER THEIR ACCOUNT TO ME. NOTE: FINRA CLOSED THIS MATTER ON 02/29/2008 WITH NO FURTHER ACTION TO BE TAKEN.
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