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Financial Advisor, Stan Leavitt, Has Two Customer Complaints Since 2017, Including One Pending Complaint

unsuitable investments

The Wolper Law Firm is currently investigating claims against Stan Leavitt, a former Financial Adviser at Merrill Lynch and current Financial Advisor at Ameriprise Financial in Roseville, California.  Stan Leavitt has been in the securities industry since the 1990s and previously worked for Cadaret Grant & Co.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 9, 2018, a customer filed a complaint against Stan Leavitt, alleging “misrepresentation and unsuitable investment recommendations from April 2015 until June 2017.”  The complaint alleges damages of $550,000 and remains pending.  This is the second customer complaint for Stan Leavitt since 2017, when a second customer alleged unsuitable investment recommendations.  The second complaint was settled for $17,509.

For a full copy of Stan Leavitt’s FINRA disclosure report, click https://brokercheck.finra.org/individual/summary/2842516#disclosuresSection.

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients.  To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

The Wolper Law Firm is interested in speaking with clients of Stan Leavitt as part of its investigation.  We can be reached at 800.931.8452 or by email at mwolper@wolperlawfirm.com.  The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis.  Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.

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