Howard Leon Of Newbridge Securities And Formerly With Stoever Glass & Company, National Securities And UBS Financial Services Has 8 Customer Complaints For Alleged Broker Misconduct

Who is Howard Leon of Newbridge Securities?

Howard Leon (CRD #2158589) who is currently registered with Newbridge Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities, Howard Leon was associated with Stoever Glass & Company, National Securities, UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Howard Leon Customer Complaints

Howard Leon has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Howard Leon’s 8 customer complaints were settled in favor of investors. Two of Howard Leon’s customers’ complaints were denied and, to date, the customers have not taken any further action. There are currently two pending customer complaints filed against National Securities Corp. and Stoever Glass & Company for investment losses caused by Howard Leon’s alleged misconduct.

Allegations Against Howard Leon

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Claimant alleged Howard Leon’s breach of fiduciary duty, misrepresentations, omissions and manipulative devices, violations of state securities laws, unsuitable trading, recklessness and breach of contract.
  • Client alleged that Howard Leon mishandled her account, resulting in unspecified damages.
  • Client claimed Howard Leon sold without her authorization and unsuitable purchases.
  • Customer alleged that former registered representative, Howard Leon misrepresented the risks associated with municipal bonds when he told them they were good and safe bonds.
  • Claimant alleged Howard Leon made unsuitable recommendations and engaged in excessive trading in her account.
  • Client alleged he gave instructions to liquidate all Puerto Rico bonds from his accounts and those instructions were not followed by Howard Leon.

Howard Leon Red Flags & Your Rights As An Investor

Of course, Howard Leon did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Howard Leon at Newbridge Securities, Stoever Glass & Company, National Securities, and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Howard Leon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities, Stoever Glass & Company, National Securities, and UBS Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Newbridge Securities Due To Howard Leon

If you have questions about Newbridge Securities, Stoever Glass & Company, National Securities, UBS Financial Services, and/or Howard Leon and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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