Leslie L Little (CRD #2886719) Has Customer Dispute Disclosures on FINRA BrokerCheck

Leslie L Little (CRD #2886719) is a broker with customer disputes on FINRA BrokerCheck. We reviewed her BrokerCheck report on January 28, 2026. It reflects two customer disputes. If you invested with Leslie L Little and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Leslie L Little’s FINRA BrokerCheck Report reflects two customer dispute disclosures. A summary of the disputes is below:

On November 3, 2025, a customer alleged Leslie L Little misrepresented information about a variable annuity. The activity date listed is September 13, 2010. The customer sought $100,000 in damages. Leslie L Little’s FINRA BrokerCheck report lists the claim as pending.

On May 4, 2024, a customer alleged Leslie L Little did not explain the terms and expenses of a variable annuity contract. The activity dates listed are 2000 through 2024. The customer sought $5,000 in damages. Leslie L Little’s FINRA BrokerCheck report states the firm denied the claim on November 15, 2024.

Rule Summary #1: FINRA Rule 2330 (Deferred Variable Annuities)

FINRA Rule 2330 sets standards for recommendations involving deferred variable annuities. It focuses on disclosure and supervision. Customer disputes about variable annuities often ask whether the product’s costs and features were explained.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 (Suitability) requires a reasonable basis for each recommendation. It also requires customer-specific suitability. Complaints may question whether a product fit the investor’s goals, time horizon, and liquidity needs.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on Leslie L Little’s FINRA BrokerCheck report, she:

Is currently registered with J.P. Morgan Securities LLC.

Is also listed as an investment adviser.

Has 28 years of experience in the securities industry.

Kurta Law Can Help

If you have worked with Leslie L Little and you have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. You can read more about potential claims and investor protections in the resources below. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Variable Annuities | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.