Howard Leon (CRD #: 2158589), a broker registered with Newbridge Securities Corporation, is involved in a customer dispute. In that complaint, the customer alleges that Mr. Leon misrepresented certain securities, according to his BrokerCheck record, accessed August 24, 2020. There are a number of other disclosures on his record.
On August 3, 2020, a client alleged that Howard Leon misrepresented the risks associated with certain bonds. The dispute is pending.
On April 17, 2020, Howard Leon was discharged from his position at Stoever Glass & Co. Incorporated following allegations that he violated the terms of his heightened supervisory agreement by calling a financial institution and impersonating a client.
On April 8, 2014, a client alleged that Howard Leon made unsuitable investment recommendations and engaged in excessive trading. The client is seeking $99,500; the dispute settled for $19,500.
On December 14, 2010, a client alleged that Mr. Leon made sales without her authorization and made unsuitable investment recommendations.
On August 15, 2002, the National Association of Securities Dealers (NASD), suspended Howard Leon’s registration for failing to comply with an arbitration award, or a settlement agreement, or to satisfactorily respond to an NASD request to provide information.
On March 5, 2001, an investor alleged Howard Leon breached his fiduciary duty, made misrepresentations, omitted information, utilized manipulative devices, and violated state securities laws, among other allegations. The client sought $55,066 in damages; the dispute settled for $7,000.
On November 14, 2000, an investor alleged that Howard Leon executed unauthorized transactions and did not follow the clients’ instructions. The client sought $22,044 in damages; the dispute settled for $7,500.
There are also two financial disclosures in Howard Leon’s record.
- On December 31, 2019, Howard Leon had a tax lien of $21,263.93.
- On March 23, 2016, Mr. Leon had a bankruptcy discharged.
Howard Leon has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, the Series 6 Investment Company Products / Variable Contracts Representative Examination, and the Series 52 Municipal Securities Representative Examination. He is a registered broker in Florida, Michigan, New York, North Carolina, and Pennsylvania.
During his 28-year career, Mr. Leon worked at the following firms:
- Stoever, Glass, & Company Inc. (CRD #: 7031)
- National Securities Corporation (CRD #: 7569
- UBS Financial Services Incorporated (CRD #: 8174)
- Oppenheimer & Co., Incorporated (CRD #: 249)
- Herbert J. Sims & Co. (CRD #: 3420)
- Ryan Beck & Co. (CRD #: 3248)
- Gruntal & Co. LLC (CRD #: 372)
- Janney Montgomery Scott LLC (CRD #: 463)
- Prudential Securities Incorporated (CRD #: 7471)
If Howard Leon was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for your free case consultation with a securities attorney.