Charlotte, North Carolina
According to FINRA records, Michael P. Lessard, Jr., a stockbroker who currently works for Southeast Investments, discloses a regulatory investigation and a discharge from a prior firm.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In March 2016, without admitting or denying the findings Lessard consented to a 4 month suspension and a $10,000 fine to resolve allegations that while he was employed by MetLife Securities, he forged a customer’s name on a fixed annuity application and falsified his member firm’s customer contact log.
In 9/2014, Lessard was discharged from MetLife Securities for failing to follow company policy.
Lessard also discloses that he was discharged from Chapter 7 bankruptcy in May 2010.
If you have questions about an account handled by Michael P. Lessard, Jr., call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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