Leslie George Markus Jr. (George Markus) a/k/a Lester George Markus Named in FINRA Disciplinary Action and Fired by Ameriprise Financial Services, Inc. – Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses - Leslie George Markus Jr. (George Markus) a/k/a Lester George Markus Named in FINRA Disciplinary Action and Fired by Ameriprise Financial Services, Inc.

From 2012 until George Markus’ firing in 2015, George Markus was licensed with Ameriprise Financial Services, Inc. George Markus is now licensed with Lincoln Investment. According to FINRA’s records, George Markus was fired by Ameriprise Financial Services, Inc. on September 2, 2015. Ameriprise Financial Services, Inc. reported to FINRA that George Markus was terminated for non-compliance with terms outlined in disciplinary action plan and conducting unauthorized mutual fund trades in client accounts.

Subsequent to George Markus’ firing by Ameriprise Financial Services, Inc., FINRA investigated George Markus and filed a disciplinary action against George Markus. FINRA alleges that on August 4, 2015 George Markus executed 11 unauthorized mutual fund purchases in a customer’s account (a customer named “JW”). FINRA alleges that George Markus entered a note in George Markus’ member firm’s client notes software that falsely stated that George Markus had spoken to the customer (JW) about the 11 purchases and that the customer agreed to the purchases, when in fact the customer did not. In addition, when correcting the trades, George Markus entered a note that falsely stated that George Markus had a “mandate” to make the purchases, according to FINRA. The complaint also alleges that George Markus falsely represented to FINRA that George Markus had time and price discretion in JW’s account, when George Markus did not.

If you lost any money on investments with George Markus, you may be able to recover your losses from Ameriprise Financial Services, Inc. and/or Lincoln Investment. This is because Ameriprise Financial Services, Inc. and Lincoln Investment had a duty to supervise George Markus. 

If you lost money on investments with George Markus and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Ameriprise Financial Services, Inc. and/or Lincoln Investment concerning George Markus’ conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with George Markus and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

 

Keywords: FINRA, Leslie George Markus, Leslie Markus, Ameriprise Financial Services, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities 

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