Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based EK Riley Investments broker/adviser Leslie Koonce has been sanctioned by state authorities and named in a pending FINRA investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Koonce (CRD# 1131758).
Leslie Koonce has spent 32 years in the securities industry and has been registered with EK Riley Investments in Menlo Park, California since 2015. Previous registrations include Cetera Advisor Networks in Menlo Park, California (2015); LPL Financial in Menlo Park, California (2009-2015); Associated Securities Corporation in Menlo Park, California (2004-2009); Main Street Management Company in Boston, Massachusetts (1999-2004); and Hornor Townsend & Kent in Horsham, Pennsylvania (1984-1998). He is a registered broker and investment adviser with 14 US states and territories: Alabama, Arizona, California, Colorado, Florida, Idaho, Illinois, Kansas, Massachusetts, New York, North Carolina, Oregon, Tennessee, and Washington.
According to his BrokerCheck report, he was recently sanctioned by state authorities and has been named in a pending FINRA investigation.