STANLEY LEON LECONTE at INTERNATIONAL ASSETS ADVISORY, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

 

 

CRD# 5229788

Disclosure #1 for STANLEY LECONTE

    • Event Date: 10/3/2017
    • Disclosure Type: Employment Separation After Allegations
    • Resolution:
    • Firm Name: Ameriprise Financial
    • Termination Type: Discharged
    • Allegations: The registered representative was terminated for company policy violations related to private securities investments and outside business activities
    • Broker Comment: I was registered with Ameriprise for over 10 years and have not been the subject of reported customer complaints. In my capacity as an investment advisor registered with an independent broker dealer, I seek out high net worth investors including athletes. I recently focused on working with NBA players as well as NFL players. As part of building my book and branding myself I network with real estate professionals, small business owners, accountants, bankers , sport agents, and attorneys. I have developed a wide net of contacts who could refer clients to me. Some of these potential referral sources , knowing of my network, ask me about other professionals, such as bankers. I also receive unsolicited e-mails regarding investment opportunities. On June 7 and June 23, 2017, I sent an e-mail to a non-client friend regarding a project for a high-end clothing boutique and for a sports management related project where the agent was seeking bridge loans for athletes. I did not believe that my activities in this regard could potentially involve private securities transactions. On July 4th 2017, I traveled to NY to attend an event with a high net worth individual who has relationships with professional athletes. At that time I was introduced to other professionals for networking purposes. On July 13, 2017, one of these individuals sent me an e-mail with a business plan on a slide deck. I forward the e-mail to another professional in my network who works in that space. legalized marijuana. I also sent an e-mail on July 14 to a person I met who I thought would have an interest in the high end clothing boutique concept. I did not believe that my activities in this regard could potentially involved outside business activities. Ameriprise upon a review of these e-mails contacted me and stated I would be terminated for violation of company policy.

Should I file a FINRA complaint against brokers like STANLEY LEON LECONTE?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update – 2022.11.15If you have suffered investment losses that may have been caused by STANLEY LEON LECONTE’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!


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Frequently Asked Questions About STANLEY LEON LECONTE

What is STANLEY LECONTE’s Central Registration Depository (CRD) Number?

Which firm is STANLEY LEON LECONTE associated with?

INTERNATIONAL ASSETS ADVISORY, LLC

Where is STANLEY LECONTE located?

12 S.E. 7TH STREET, FT. LAUDERDALE, FL, 33301

Where can I find more details about STANLEY LECONTE’s Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/10645 to read a detailed report for INTERNATIONAL ASSETS ADVISORY, LLC

Are there any disclosures, allegations or complaints filed against STANLEY LEON LECONTE?

Yes. There are disclosures, allegations, or complaints filed against STANLEY LEON LECONTE. Click here to view all details

Where can I download a detailed FINRA report for STANLEY LECONTE?

Click here to download a detailed FINRA report for STANLEY LECONTE

Is it safe to do business with STANLEY LEON LECONTE?

We’re not sure. Please research STANLEY LECONTE’s disclosures, allegations and complaints before taking a decision




Originally reported on November 16, 2022 @ 12:40 am

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