Timothy Leveroni is the Subject of a Regulatory Action in Maryland
Timothy Leveroni (CRD #: 836167), a broker registered with LPL Financial, is the subject of two regulatory actions. This is according to his BrokerCheck record, accessed on June 28, 2024. Keep reading if you have questions regarding his alleged conduct.
Regulatory Actions
On February 2, 2024, Timothy Leveroni entered into an Acceptance, Waiver, and Consent agreement (AWC), in which he consented to the findings that he permitted other registered representatives to electronically sign his name on account documents. The documents allegedly included required records of his member firm, including new account applications and account update forms. He therefore allegedly caused his firm to maintain inaccurate books and records.
As part of the terms of the AWC, Timothy Leveroni consented to a two-month suspension and a $7,500 fine. You can read a copy of the AWC here.
On April 3, 2024, Maryland revoked his license for the same allegations.
Books and Records
FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records.
Background Information
Timothy Leveroni has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 1 Registered Representative Examination
- Series 24 General Securities Representative Examination
He is a registered broker in 26 states and is a registered investment adviser in Massachusetts and Texas.
During his 47 years of experience, Timothy Leveroni has registered with nine firms. These are the five most recent:
- LPL Financial (CRD #: 6413)
- Mutual Service Corporation (CRD #: 4806)
- BTS Asset Management (CRD #: 105215)
- Titan/Value Equities Group (CRD #: 6359)
- Investors Brokerage Services (CRD #: 4257)
Kurta Law Can Help
If you have worked with Timothy Leveroni and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.
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