ROBERTO FRANCISCO LESLIE is currently employed as a Broker and/or Investment Adviser at INFINEX INVESTMENTS, INC. located at 539 EASTERN PARKWAY, BROOKLYN, NY, 11216.
ROBERTO FRANCISCO LESLIE has worked at INFINEX INVESTMENTS, INC. since July 01, 2016
Disclosure History
ROBERTO FRANCISCO LESLIE has 2 Disclosure Event(s).
Date: December 01, 2017 Category: Customer Dispute Allegations: The client's son, who has POA, and is a co-investor, felt the disclosure of the way fees and commissions could effect market value were disclosed in the prospectus were insufficient, and should have been made verbally. Damage Amount Requested: $60,000.00 Broker Comment: REP STATEMENT: Roberto Leslie assisted the client in making two, separate real estate trust investments. The client earned a profit from the first investment. Standard fees and commissions applied. The client suffered a loss from the second investment, which is the subject of the client's complaint. The same fees and commissions applied in both transactions. For each transaction, Mr. Leslie provided the client with a written prospectus which contained a description of the fees and commissions. Mr. Leslie also spoke with the client's accountant. The client and two co-owners signed the firm's transaction acknowledgement directly below the statement indicating they "received a copy of the prospectus or contract and will refer to it for clarification of important costs, fees, and benefit information." FIRM STATEMENT:The client and two co-owners signed the firm's transaction acknowledgement directly below the statement that they've "received a copy of the prospectus or contract and will refer to it for clarification of important costs, fees, and benefit information."
Date: February 04, 2002 Category: Employment Separation After Allegations Firm Name: CITICORP Termination Type: Voluntary Resignation Allegations: INDIVIDUAL WAS BEING INVESTIGATED FOR FAILURE TO FOLLOW STANDARDS AND POLICIES REGARDING DELIVEY OF ANNUITY CONTRACTS TO CUSTOMERS
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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