RANDY LYNN LESLIE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 440 INDIANA ST, GOLDEN, CO, 80401.
RANDY LYNN LESLIE has worked at LPL FINANCIAL LLC since October 08, 2012
Disclosure History
RANDY LYNN LESLIE has 4 Disclosure Event(s).
Date: October 09, 2014 Category: Regulatory Initiated By: OREGON DCBS DIVISON OF FINANCE AND CORPORATE SECURITIES Allegations: RESPONDENT DID NOT TIMELY AMEND SECTION 14 OF CRD FORM U4 UPDATE FINANCIAL DISCLOSURES Resolution: Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $7,000.00
Date: September 06, 2012 Category: Employment Separation After Allegations Firm Name: EDWARD JONES Termination Type: Discharged Allegations: EDWARD JONES TERMINATED MR. LESLIE'S EMPLOYMENT DUE TO HIS FAILURE TO SELF REPORT TO COMPLIANCE TWO STATE TAX LIENS AND FOUR JUDGMENTS. LESLIE ALSO PLACED TRADES IN A CLIENT ACCOUNT WITHOUT PROPER AUTHORIZATION.
Date: October 27, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: September 23, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released
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