VICTORIA LEONARD is currently employed as a Broker and/or Investment Adviser at PFS INVESTMENTS INC. located at 2698 JUNIPERO AVE, STE 201-B, SIGNAL HILL, CA, 90755.
VICTORIA LEONARD has worked at PFS INVESTMENTS INC. since January 18, 2012
Disclosure History
VICTORIA LEONARD has 2 Disclosure Event(s).
Date: October 09, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: January 22, 2009 Category: Customer Dispute Allegations: TIME FRAME; MARCH 4, 2002-AUG 8,2008. THE CLIENT ALLEGES THAT THEIR FINANCIAL ADVISOR MADE SEVERAL PURCHASES IN THEIR ACCOUNT, INCLUDING A VARIABLE ANNUITY, WITHOUT THEIR PERMISSION. CLIENT FURTHER ALLEGES THAT THE FA DID NOT ADVISE THEM OF THE SURRENDER CHARGE ASSOCIATED WITH THE CANCELATION OF THE VA. ADDITIONALY, CLIENT ALLEGES HE TOLD HIS FA THAT HIS PRIMARY GOAL WAS TO GENERATE CURRENT INCOME BUT STATE THEIR PORTFOLIO WAS NOT STRUCTURED FOR INCOME AND HAD MORE RISK THAN THE CLIENT WAS COMFORTABLE WITH. THE ALLGEDED DAMAGES ARE EST TO BE IN EXCESS OF $5,000. Damage Amount Requested: $5,000.00
More Information
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 VICTORIA LEONARD, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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 Removal
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.