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Brian Lesley Allegedly Did Not Act in His Client’s Best Interest

Brian Lesley (CRD #: 3090243), a broker registered with LPL Financial, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on September 27, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On July 22, 2024, an investor alleged that Brian Lesley did not act in their best interests when he used his discretion to sell equities in their account.

This is the second investor dispute on his record. 

Regulation Best Interest

Regulation Best Interest (Reg-BI) is an SEC regulation that requires brokerage firms to put their clients’ best interests first. For example, firms must conduct reasonable due diligence when researching investments to ensure their recommendations are suitable for the investor.

Background Information 

Brian Lesley has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 14 states and is a registered investment adviser in Mississippi and Texas. 

Brian Lesley has registered with eight firms. These are the five most recent: 

  • LPL Financial (CRD #: 6413) 
  • Wells Fargo Advisors (CRD #: 19616) 
  • Morgan Keegan & Company (CRD #: 4161) 
  • AmSouth Investment Management Company (CRD #: 111757) 
  • AmSouth Investment Services (CRD #: 15692) 

Kurta Law Can Help 

If you worked with Brian Lesley and you 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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