Customer alleges that an investment made in 2022 was unsuitable for the customer's investment objectives and risk tolerance.

$499,000.00

Customer alleges representative made unsuitable recommendations during the period of March 2022 to December of 2023.

$500,000.00

Claimants allege that in July of 2022, representative induced Claimants to invest in products not approved by his firm.

$800,000.00

Claimant alleges that during the time period January 2021 to September 2023, representative recommended an unsuitable life insurance policy and an unapproved investment product.

$100,000.00

$25,000.00

Statement of Claim alleges RR used his position of trust to provide a false layer of legitimacy to structured settlement activities.

$47,516.93

FINRA

Without admitting or denying the findings, Lesk consented to the sanctions and to the entry of findings that he refused to provide information and documents and to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he recommended that his customer invest in a crypto asset offering away from Lesk's member firm.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All capacities

Indefinite

10/6/2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

Permitted to Resign

The FP tendered a resignation however, based on the Firm's understanding that the FP was unwilling to cooperate with either the regulators or the Firm's requests for information, the Firm was already in the process of terminating its relationship with the FP and accepted the resignation.

Customers alleges representative made unsuitable recommendations during the period of December 2021 to November 2022.

$1,180,000.00

$710,000.00

LPL FINANCIAL LLC

Voluntary Resignation

Representative directed customers to invest in Firm-unapproved investment, a LLC that representative founded, without notice to, or approval from Firm.

Customers allege that in 2015 Todd Lesk purchased and sold securities in their Trust account without authorization and that Mr. Lesk churned the account.

$33,000.00

$30,000.00

I disagree with the complaint as all orders were taken from the Trustee and executed with their full authorization and understanding.