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Leonard Dunn: Two Regulatory Sanctions

Leonard DunnPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on October 14, 2016 indicate that Wisconsin-based Freedom Investors broker Leonard Dunn has been the subject of resolved or pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dunn (CRD# 2041934).

Leonard Dunn has spent 26 years in the securities industry and has been registered with Freedom Investors in Brookfield, Wisconsin since 2008. Previous registrations include EZ Stocks, which has been expelled by FINRA, in Brookfield, New York; National Securities in Seattle, Washington; LISS Financial Services, which has been expelled by FINRA, in Milwaukee, Wisconsin; Dain Rauscher; Smith Barney in New York, New York; and Investment Account Services in Milwaukee, Wisconsin. He is a registered broker with nine US states and territories: California, Illinois, Indiana, Massachusetts, Nevada, New Jersey, New York, Texas, and Wisconsin.

According to his BrokerCheck report, Leonard Dunn has received two regulatory sanctions, six customer complaints, and one pending customer complaint.

In July 2016 a customer alleged Leonard Dunn, while employed at Freedom Investors, executed “inappropriate and unauthorized margin calls.” The customer is seeking $8,400 in damages in the pending complaint.

In 2008 the State of Wisconsin sanctioned Leonard Dunn following allegations he participated in discretionary trading without having obtained prior written authorization. He was issued a ten-day suspension.

In 2007 the National Association of Securities Dealers sanctioned Leonard Dunn allegations he participated in discretionary trading without having obtained prior written authorization from the customer or approval from his member firm of the account as discretionary. He was censured.

In 2001 a customer alleged he, while employed at J.E. Liss & Company, misrepresented material facts, committed fraud, and made unsuitable recommendations. The complaint settled in 2002 for $25,000.

In 1997 a customer alleged he, while employed at Smith Barney, misrepresented and omitted material facts, and failed to supervise. The complaint resulted in an award to the customer of more than $18,300.

In 1997 a customer alleged he, while employed at Salomon Smith Barney, misrepresented and omitted material facts and made unsuitable recommendations. The complaint resulted in an award to the customer of more than $160,000.

If you or someone you know has a complaint regarding Leonard Dunn, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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