Eduardo Leon: FINRA Suspends Global Financial Advisor

Houston, Texas financial advisor Eduardo Leon (CRD# 2232647) was recently sanctioned and suspended in connection with allegations that he improperly borrowed funds from a customer. Financial Industry Regulatory Authority records show that he is registered as a broker with Global Financial Services.

A Letter of Acceptance, Waiver, and Consent (No. 2025085776501) describes FINRA’s disciplinary action against Mr. Leon. Signed in January 2026, it alleges that he took two loans totaling $750,000 from a customer of his, whom FINRA describes as “a wealthy person who had been his friend for 25 years.” He did not document the loans with his firm and “has not repaid any portion of either loan” as of the date of FINRA’s AWC Letter. During the period in question, his firm’s procedures forbade representatives from taking loans from customers without written approval from the firm. “However, Leon did not notify Global Financial about, or receive the firm’s approval for, either loan,” the Letter states. “In April 2025, Global Financial discovered the loans and disciplined Leon by suspending him for one month and requiring him to forfeit two months’ commissions. “In April 2025, Global Financial discovered the loans and disciplined Leon by suspending him for one month and requiring him to forfeit two months’ commissions.”

FINRA found that his loans violated FINRA Rule 3240, which prohibits registered persons from taking loans from customers unless their firm has rules allowing them, and unless they eet certain conditions specified by the rule. Finding that he violated Rule 3240 as well as FINRA Rule 2010, the regulator issued him a two-month suspension from registering with any member firm. It also ordered him to pay a fine of $5,000.

Mr. Leon’s BrokerCheck report discloses a prior FINRA disciplinary action against him. Filed in May 2025, it alleged that he recommended customers invest in a volatility-linked exchange-traded note “without having a sufficient understanding of its risks and features” and which was “not in the best interests of his retail customers.” He also allegedly recommended customers invest in a “foreign currency denominated corporate bond” that was neither suitable for the, nor in their best interests. He was suspended for four months and ordered to pay a fine of $7,500.

According to the Financial Industry Regulatory Authority, Eduardo Leon holds 33 years of securities industry experience. Based in Houston, Texas, he has been registered as a broker with Global Financial Services since 1994. His past registrations include Kidder Peabody & Company and GBM International. His credentials include the passage of six securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; the Limited Representative-Equity Trader Exam, or Series 55; the Securities Trader Exam, or Series 57TO; the General Securities Representative Examination, or Series 7; and the General Securities Principal Examination, or Series 24. He is licensed in Colorado, New York, and Texas. (Information current as of January 10, 2026.)

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