Eduardo Leon

05/08/2025: In November 2020 and February 2021, Leon recommended that three retail customers and six non-retail customers purchase and hold a volatility-linked exchange-traded note without having a sufficient understanding of its risks and features. In addition, in January 2022, Leon recommended that the same three retail customers and three of the same nonretail customers purchase a foreign currency denominated corporate bond that was not in the best interests of the retail customers and was not suitable for the non-retail customers, and in amounts that resulted in concentration levels that were inconsistent with the customers' investment profiles. As a result, Leon willfully violated Rule 15l-1of the Securities Exchange Act of 1934 (Regulation BI or Reg BI) and violated FINRA Rules 2111 and 2010. For these violations, Leon is suspended for four months and fined $7,500.

Reference 2022074734102data-portal.finra.orgfinra.org

01/09/2026: In 2017 and 2022, Leon borrowed $750,000 from one of his securities customers without notifying or obtaining approval from Global Financial, violating FINRA Rules 3240 and 2010. For these violations, Leon is suspended for two months and fined $5,000.

Reference 2025085776501data-portal.finra.orgfinra.org