Leslie Lauer: $500K-$1mm Complaint Against Ex-UBS Advisor

Atlanta financial advisor Leslie Lauer (CRD# 2941432) recently received an investor complaint in connection with an options overlay strategy. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with RBC Capital Markets, having previously been registered with UBS Financial Services.

Ms. Lauer’s BrokerCheck report discloses one investor complaint. Filed in January 2024, it alleges that as a representative of UBS Financial Services, she misrepresented and recommended an unsuitable options overlay strategy between February 2018 and June 2020. The pending complaint alleges damages of $500,000 to $1 million.

RBC Capital Markets’ website includes a profile of Ms. Lauer that describes her as a member of The ESOP Group, a practice within the firm that focuses on employee stock ownership plans. “Leslie is well qualified to assist owners on the nuances, benefits and challenges of selling their business to their employees,” her profile states. “She also advises corporate client relationships and family offices, providing them with cash management, executive compensation and captive insurance company asset management.”

A separate page describes The ESOP Group as a “multi-generational team” with extensive asset management experience. “We maintain a low client-to-team-member ration to deeply understand our clients’ priorities and the challenges they face,” it explains. “Our relationship with RBC Wealth Management helps to optimize our ability to deliver solutions to our clients.”

Other current or former RBC Capital Markets advisors to receive investor complaints include Martin Klein and William Notrica. Other current or former UBS Financial Services advisors to receive investor complaints include Raymond Byers, Steve Liddell, Barry Schwartz, and Brian Mariash.

According to the Financial Industry Regulatory Authority, Leslie Lauer holds 17 years of securities industry experience. Based in Atlanta, Georgia, she has been a broker and an investment advisor with RBC Capital Markets since 2023. She was previously registered with UBS Financial Services in Columbus, Ohio from 2006 until 2023. Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. She holds 52 state licenses. (Information current as of January 30, 2024.)

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