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Leo Meneses Allegedly Made Misrepresentations

Leo Meneses (CRD #: 4216335), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on October 30, 2022. Read on to learn more about his conduct as a broker.

Investor Dispute

On September 29, 2022, an investor alleged that Leo Meneses made misrepresentations from August 2021 to August 2022. This dispute is pending.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of manipulation, deception, and other unethical means of influencing the purchase and sale of securities. Misrepresenting an investment’s potential returns, risks, or requirements violates this rule.

FINRA Rules 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Leo Meneses has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Leo Meneses is a registered broker in ten states and the District of Columbia. He is also a registered investment adviser in California and Texas.

He has also worked for the following firms:

  • Banc of America Investment Services (CRD#:16361)
  • Citigroup Global Markets (CRD#:7059)
  • Citicorp Investment Services (CRD#:23988)
  • Wells Fargo Investments (CRD#:10582)
  • Charles Schwab & Company (CRD#:5393)

Kurta Law Can Help

If you worked with Leo Meneses and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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