According to public records with the Financial Industry Regulatory Authority (FINRA), Leslie Koonce allegedly received regulatory sanctions against him. He was accused of participated in private securities transactions without giving prior written notice to his member firm. For this, he was barred from acting as a broker or otherwise associating with a broker-dealer firm. In December 2016, he was sanctioned by the State of Massachusetts in connection to allegations he was the subject of prior disclosable incidents, including allegations that he signed a customer’s name to forms and participated in private securities transactions. These are all against securities laws.
Leslie Koonce was previously registered with Hornor, Townsend & Kent in Horsham, Pennsylvania from May 1984 until September 1998, Main Street Management Company in Boston, Massachusetts from December 1999 until May 2004, Associated Securities Corp in Menlo Park, California from May 2004 until September 2009, LPL in Menlo Park from September 2009 until December 2015, Cetera Advisor Network in Menlo Park from December 2015 until December 2015 and EK Riley Investments in Menlo Park from December 2015 until November 2017. He has four regulatory matters against him. He has been barred from the industry permanently.
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