Leslie Koonce – Leslie Rhodes Koonce, Financial Advisor Barred from Securities Industry

Leslie Koonce – Leslie Rhodes Koonce, Financial Advisor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Leslie Koonce CRD # 1131758

Leslie Koonce was previously licensed with EK Riley Investments, LLC, Cetera Advisor Networks LLC and LPL Financial LLC in Menlo Park, California. FINRA reports that Leslie Koonce was barred from the securities industry in December 2017.

ACCORDING TO FINRA:  Leslie Koonce consented to the sanction and to the entry of findings that Leslie Koonce participated in several private securities transactions without providing prior written notice to his member firm. The findings stated that among other things, Leslie Koonce solicited at least 30 prospective investors (including several firm customers) to invest in convertible promissory notes being offered by a private company, sent the prospective investors information about the private company from his firm email account, took part in arranging meetings where prospective investors could meet with representatives of the private company to obtain additional information, facilitated the movement of funds for three firm customers so they could make investments in the convertible promissory notes aggregating $175,000, and ultimately invested $50,000 of his own money in the convertible promissory notes. Separately, Leslie Koonce personally invested $50,000 to purchase shares of stock in a second private company. The findings also stated that Leslie Koonce completed firm compliance questionnaires in which he falsely denied participating in private securities transactions during the months since completing his previous questionnaire. The findings also included that Leslie Koonce provided false responses to FINRA requests for information during its investigation of this matter.

According to Leslie Koonce’s CRD, Leslie Koonce was discharged from LPL Financial LLC in November 2015. Leslie Koonce allegedly participated in private securities transactions without firm approval and directed clients to unapproved investments, in violation of Firm policy.

If you lost money on investments with Leslie Koonce and believe 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 concerning Leslie Koonce’s 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 $180 million on behalf of victimized investors. If you lost money on investments with Leslie Koonce 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.  

Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

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