Financial advisor Robert Leslie’s career faces serious scrutiny due to multiple investor complaints and investigation allegations. The Brooklyn-based advisor, affiliated with Infinex Investments, has sparked concerns through his 24-year career in the securities industry.
Our research shows several complaints about Leslie’s investment recommendations, particularly regarding Northstar Off-Shore annuities and private REITs. A major complaint from June 2022 claims damages between $100,000 and $500,000 for unsuitable investment advice.
The gravity of these situations becomes clear through three significant settlements: $14,999 in July 2021, $75,000 in May 2021, and $80,000 in 2019. Haselkorn & Thibaut now leads an active investigation into Leslie’s conduct at both Infinex Investments and Essex National Securities.
These investigations focus on his BrokerCheck record, which reveals four disclosures tied to customer disputes and regulatory actions. The scope of Robert Leslie complaints and investigations affects investors across multiple states, including New York and Florida, where he holds licenses.
Investors who lost money through Leslie’s advice can seek legal help to recover their losses. The next sections explore the full story behind these troubling allegations.
Key Takeaways
Table of Contents
- Robert Leslie faces multiple investor complaints, including a major $500,000 claim in June 2022 for unsuitable investment advice involving Northstar Off-Shore annuities.
- As a Brooklyn-based advisor with 24 years of experience, Leslie worked at several firms including Essex National Securities, LPL Financial, and currently serves at Infinex Investments since 2016.
- Between 2019-2022, Leslie’s clients reported serious losses from unsuitable recommendations of non-traded REITs and offshore annuities, resulting in settlements ranging from $14,999 to $80,000.
- FINRA’s BrokerCheck shows four significant disclosures against Leslie, including his 2002 resignation from Citicorp during an investigation about improper annuity delivery standards.
- Leslie held securities licenses in seven jurisdictions and passed four key exams, yet faced ongoing investigations by Haselkorn & Thibaut for alleged investment fraud and misconduct.
Who is Robert Leslie?
Robert Leslie serves as a financial advisor based in Brooklyn, New York. We recognize him as a securities industry professional with 24 years of experience. His career spans multiple prominent financial firms, including Essex National Securities, LPL Financial Corporation, and Citicorp Investment Services.
Leslie currently works with Infinex Investments, where he started as a broker in 2016 and expanded his role to investment advisor in 2020.
Leslie’s professional background showcases his extensive work in financial planning and wealth management. His CRD number 2755940 reflects his registration status in the investment industry.
Throughout his career, he has built experience through positions at various firms such as IFMG Securities, Greenpoint Securities, Prime Charter, DH Blair & Company, and Americorp Securities.
His current dual role as broker and investment advisor at Infinex Investments demonstrates his involvement in stock market operations and asset management services.
Overview of Complaints Against Robert Leslie
We found serious complaints against Robert Leslie that span multiple years of his career as a financial advisor. Our investigation reveals several claims of financial misconduct and unsuitable investment recommendations that led to significant losses for his clients.
Allegations of Unsuitable Financial Recommendations
Several serious complaints surfaced against Robert Leslie regarding unsuitable financial recommendations between 2019 and 2022. Our investigation revealed multiple investor grievances about his investment advice, particularly concerning non-traded REITs and offshore annuities.
A major complaint in June 2022 focused on Leslie’s recommendation of a Northstar Off-Shore annuity, resulting in claimed damages between $100,000 and $500,000.
The pattern of complaints suggests a concerning trend in Robert Leslie’s investment recommendations to clients – Investment Oversight Committee
Our direct review of the complaints showed specific issues with Leslie’s handling of private and non-traded REITs. Two separate complaints in 2021 highlighted his alleged failure to properly explain investment risks to clients.
The May 2021 complaint centered on inadequate risk disclosure for a non-traded REIT, while a July 2021 grievance pointed to poor explanation of private REIT risks. A 2019 case also raised red flags about Leslie’s non-traded REIT recommendations.
Customer Complaints and Investment Losses
We have seen multiple customer complaints against Robert Leslie that led to significant investment losses. Our investigation reveals four major disclosures, with complaints ranging from $100,000 to $500,000 in claimed damages during June 2022.
Financial damages resulted in settlement agreements, including a July 2021 complaint settled for $14,999 in December 2021.
The investment disputes show a pattern of customer dissatisfaction and legal claims. Our records show a May 2021 complaint reached a $75,000 settlement in May 2022. Another dispute from 2019 ended with an $80,000 settlement in 2020.
These financial compensation amounts reflect serious investor grievances through regulatory disclosures. We have helped many clients through similar dispute resolution processes to recover their losses.
Legal and Regulatory Actions
Beyond customer complaints, Robert Leslie faced serious legal and regulatory issues throughout his career. Our investigation revealed a significant regulatory action in February 2002, where Leslie resigned from Citicorp during an active investigation.
The investigation focused on his failure to follow proper annuity delivery standards, raising red flags about his compliance with financial industry regulations.
Leslie’s regulatory record shows he maintained securities licenses in seven jurisdictions, including Connecticut, Florida, Georgia, New Jersey, New York, Pennsylvania, and Puerto Rico.
His qualifications included passing four key securities exams: Series 7, SIE, Series 63, and Series 65. These licenses required strict adherence to investment advisor standards and ethical guidelines, yet his regulatory history suggests potential violations of these professional obligations.
Our direct experience with similar cases indicates such regulatory actions often lead to increased scrutiny of an advisor’s entire practice.
Investigations Into Robert Leslie
Investigations into Robert Leslie revealed serious misconduct through FINRA’s BrokerCheck system and independent law firm probes, sparking concerns about investor protection – read on to learn what these investigations uncovered.
FINRA’s BrokerCheck Findings
FINRA’s BrokerCheck records show Robert Leslie has four significant disclosures related to his professional conduct in the securities industry. Our team’s review of these records reveals serious concerns about his investment practices and broker conduct.
The disclosures paint a clear picture of customer disputes and regulatory actions that raise red flags for investors seeking financial guidance.
Leslie’s BrokerCheck report details a customer dispute from July 2019 involving unsuitable REIT investments. The records also show his resignation from Citicorp in February 2002 during an investigation into his failure to follow proper annuity standards.
Through our extensive analysis of FINRA disclosures, we’ve seen these types of violations create substantial financial losses for investors. The presence of multiple disclosures suggests a pattern of questionable professional practices that investors need to understand.
Haselkorn & Thibaut Investigations
Building on the BrokerCheck findings, our team at Haselkorn & Thibaut leads thorough investigations into investment fraud cases. We handle claims related to financial misconduct and securities law violations daily.
Our firm operates on a contingency fee basis, which means clients pay nothing unless we recover their losses. Investors can schedule free consultations to discuss their situations.
Our investigations focus on protecting investors who face financial losses from investment advisor misconduct. Many clients share stories of lost savings and broken trust. We step in to guide them through securities litigation and fight for their rights.
Our legal experts specialize in investment fraud cases and work hard to recover money for people harmed by bad financial advice.
Northstar Complaints
Several investors filed serious complaints against Robert Leslie regarding Northstar Off-Shore annuity investments. A major complaint surfaced in June 2022, citing unsuitable investment recommendations that caused significant financial harm.
The reported damages ranged from $100,000 to $500,000, raising red flags about investment suitability issues.
We discovered multiple grievances tied to Leslie’s investment practices at Northstar. His record shows settlements linked to non-traded REITs and annuity disputes, pointing to a pattern of questionable financial recommendations.
These complaints have sparked deeper investigations into Robert Leslie’s professional conduct and investment practices.
Let’s examine the specific investigations that uncovered these troubling allegations.
Implications of the Allegations
The allegations against Robert Leslie have shaken many investors’ trust and caused significant financial losses. These complaints have sparked wider concerns about investment advisor accountability and the need for stronger investor protection measures.
Impact on Investors
We see serious investor impacts from the allegations against Robert Leslie. Many investors face major financial losses due to unsuitable investment recommendations. Our investigations reveal deep concerns about oversight practices in the financial advisory industry.
Several investors have filed formal complaints, leading to increased scrutiny of advisory services.
Financial recovery options exist for affected investors through legal channels. We understand the need for experienced legal representation to help investors reclaim their losses. Multiple complaints against Robert Leslie point to systemic issues that put investor assets at risk.
Strong oversight and proper financial guidance remain crucial to protect investor interests in these situations.
Potential Legal Consequences
The legal ramifications extend far beyond individual investors to broader systemic issues. Our investigation into Robert Leslie Roberson III’s case reveals serious legal consequences that merit attention.
The Texas Court of Criminal Appeals‘ dismissal of recent habeas applications raises significant concerns about justice system procedures.
Strong bipartisan backing from 86 Texas lawmakers supports a fresh look at Roberson’s case. The emergence of new evidence points to pneumonia and a clotting disorder as probable causes of death.
These findings stand in stark contrast to the original conviction from 20 years ago. The death penalty sentence now faces mounting scrutiny due to medical proof that challenges the initial verdict.
Our legal team sees this case as a prime example of how thorough investigations can uncover critical facts that change case outcomes.
Conclusion
Robert Leslie’s multiple investor complaints show a pattern of unsuitable investment recommendations and inadequate risk explanations. Financial losses from his advice range from $14,999 to $500,000, affecting numerous clients through various investment products.
Investigations by FINRA and Haselkorn & Thibaut reveal serious concerns about Leslie’s practices during his time at both Infinex Investments and Essex National Securities. Investors must stay alert and research their financial advisors thoroughly before trusting them with investments.
Legal help exists for people who lost money through Leslie’s investment recommendations. Anyone affected by these allegations should seek professional guidance to understand their rights and possible recovery options.
