LEONARD C. BROWN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/10/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LEONARD C. BROWN CRD No: 3079259 Respondent. Disciplinary Proceeding No. 2007009081801 Hearing Officer COMPLAINT The Department of Enforcernent alleges: SUMMARY 1. In October and November 2006, Leonard C. Brown (Brown) obtained a total of $20,000.00 from Allstate Financial Services (AFS) customer JA. JA believed that these funds were to be invested in real estate. Brown, however, used the funds for
02/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LEONARD C. BROWN CRD No. 3079259, Respondent. Disciplinary Proceeding No. 2007009081801 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 9, 2010 INTRODUCTION Disciplinary Proceeding No. 2007009081801 was filed on February 10, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Leonard C. Brown submitted an
Reference 2007009081801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3079259 |
Other names1
Also known as1
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