National investment loss lawyers KlaymanToskes is investigating broker Leslie Lauer (CRD# 2941432) of UBS Financial Services after a customer complaint was filed with the Financial Industry Regulatory Authority (“FINRA”), alleging up to $1,000,000 in investor damages due to unsuitability and misrepresentation, with respect to recommendations to invest in and hold an options overlay strategy.
According to FINRA BrokerCheck, broker Leslie Lauer was previously registered with UBS Financial Services from 2006 to 2023 in Columbus, OH. Lauer is currently registered with RBC Capital Markets in Atlanta, GA.
Investors that suffered losses with broker Leslie Lauer are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to KlaymanToskes’ investigations of broker Leslie Lauer:
If you suffered losses with broker Leslie Lauer, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorneys fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Leslie Lauer. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA, brokerage firms such as UBS Financial Services and RBC Capital Markets are responsible for the supervision of all of the activities of their registered brokers and investment advisors. Investors may be entitled to a financial recovery if their brokerage firm failed to supervise the representative managing their brokerage account, and/or if their broker/advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Leslie Lauer, or have concerns regarding your investment portfolio at UBS Financial Services and/or RBC Capital Markets, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss your recovery options.