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
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
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ROBERTO FRANCISCO LESLIE, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More