Last Updated: December 2024 (Battle Ground, WA)
Leigh Allen Investigation Summary
Here’s What You Need to Know About Battle Ground, WA Stockbroker Leigh A. Allen:
- Name: Leigh A. Allen
- Current Employer: LPL Financial LLC
- Prior Employers:
- Wedbush Securities Inc. (2009–2017)
- Function: Stockbroker / Financial Advisor
- DBA: Excell Wealth Partners
- Aliases: Leigh Delgado, Leigh Entrekin
- Primary Location: Battle Ground, WA
- CRD Number: 5711971
- Can Leigh Allen Be Sued in FINRA Arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute: Yes
If you’ve sustained damages from Mr. Allen, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Leigh Allen as Your Stockbroker?
A pending customer dispute filed on August 15, 2024, alleges forgery and unauthorized sales involving a variable annuity product. The complaint relates to actions reported to have occurred on April 18, 2024. A damage amount is not currently specified.
Allegations of Broker Misconduct Against Leigh Allen
Customers and regulatory filings have alleged the following against Leigh Allen:
- Forgery: Allegations of document falsification in connection with the unauthorized sale of variable annuity products.
- Unauthorized Sales: Claims involving the sale of financial products without client consent or proper authorization.
Investigations involving forgery by financial advisors
Relevant FINRA rules, such as FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), may apply to these allegations, indicating potential breaches of ethical conduct.
The Financial Industry Regulatory Authority (FINRA) requires brokers to report customer complaints, disputes, and regulatory actions. Allegations of forgery and unauthorized transactions are considered serious breaches of fiduciary responsibility.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Leigh A. Allen, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.