{"id":11602,"date":"2024-12-23T16:51:20","date_gmt":"2024-12-23T21:51:20","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11602"},"modified":"2024-12-23T16:51:20","modified_gmt":"2024-12-23T21:51:20","slug":"broker-maria-leon-barred-by-finra-following-termination","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-maria-leon-barred-by-finra-following-termination\/","title":{"rendered":"Broker Maria Leon Barred By FINRA Following Termination"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11603 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics4.png\" alt=\"Maria Leon (Maria De Los Angeles Leon CRD# 6042515, aka, Maria D. Del Real, Maria De Los Angeles Del Real, Maria Del Real, Maria D Delreal, Maria D. Delreal, Maria De Los Angeles Delreal, Maria Delreal) is a previously registered broker last employed with PNC Investments (CRD# 129052) of Grand Rapids, MI. Her previous employers were J.P. Morgan Securities LLC (CRD# 79) of Chicago, IL and San Leandro, CA, and Chase Investment Services Corp. (CRD# 25574) of Michigan City, IN. She has been in the industry since 2012.\n\nPNC Investments discharged Leon on August 13, 2024 for misappropriation of customer funds following an investigation. The firm issued a Uniform Termination Notice for Securities Industry Registration (Form U5) for her termination. Despite no longer being an employee of PNC or any other member broker-dealer, Leon continues to be subject to FINRA\u2019s jurisdiction.\n\nFINRA sent requests for related information, documents, and for on-the-record testimony to Leon on September 10, 2024.\u00a0 Leon acknowledged the requests in an email on the same day and declined to provide the requested documents and information and refused any on-the-record testimony. This refusal violates FINRA Rules 8210 and 2010.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics4.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics4-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Maria Leon (Maria De Los Angeles Leon CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/6042515\" target=\"_blank\">6042515<\/a>, aka, Maria D. Del Real, Maria De Los Angeles Del Real, Maria Del Real, Maria D Delreal, Maria D. Delreal, Maria De Los Angeles Delreal, Maria Delreal) is a previously registered broker last employed with PNC Investments (CRD# 129052) of Grand Rapids, MI. Her previous employers were J.P. Morgan Securities LLC (CRD# 79) of Chicago, IL and San Leandro, CA, and Chase Investment Services Corp. (CRD# 25574) of Michigan City, IN. She has been in the industry since 2012. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-maria-leon-barred-by-finra-following-termination\/#more-11602\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Maria Leon (Maria De Los Angeles Leon CRD# 6042515, aka, Maria D. Del Real, Maria De Los Angeles Del Real, Maria Del Real, Maria D Delreal, Maria D. Delreal, Maria De Los Angeles Delreal, Maria Delreal) is a previously registered broker last employed with PNC Investments (CRD# 129052) of Grand Rapids, MI. Her previous employers [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11602","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker Maria Leon Barred By FINRA Following Termination &#8212; Securities Arbitration Lawyers Blog &#8212;<\/title>\n<meta name=\"description\" content=\"Maria Leon is a previously registered broker last employed with PNC Investments (CRD# 129052) of Grand Rapids, MI.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/broker-maria-leon-barred-by-finra-following-termination\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Broker Maria Leon Barred By FINRA Following Termination &#8212; Securities Arbitration Lawyers Blog &#8212;\" \/>\n<meta name=\"twitter:description\" content=\"Maria Leon is a previously registered broker last employed with PNC Investments (CRD# 129052) of Grand Rapids, MI.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics4.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Broker Maria Leon Barred By FINRA Following Termination &#8212; Securities Arbitration Lawyers Blog &#8212;","description":"Maria Leon is a previously registered broker last employed with PNC Investments (CRD# 129052) of Grand Rapids, MI.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/broker-maria-leon-barred-by-finra-following-termination\/","twitter_card":"summary_large_image","twitter_title":"Broker Maria Leon Barred By FINRA Following Termination &#8212; Securities Arbitration Lawyers Blog &#8212;","twitter_description":"Maria Leon is a previously registered broker last employed with PNC Investments (CRD# 129052) of Grand Rapids, MI.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics4.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/broker-maria-leon-barred-by-finra-following-termination\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-maria-leon-barred-by-finra-following-termination\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Broker Maria Leon Barred By FINRA Following Termination","datePublished":"2024-12-23T21:51:20+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-maria-leon-barred-by-finra-following-termination\/"},"wordCount":578,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-maria-leon-barred-by-finra-following-termination\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics4.png","articleSection":["FINRA Disciplinary Actions","Stockbroker Misconduct"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/broker-maria-leon-barred-by-finra-following-termination\/","url":"https:\/\/www.silverlaw.com\/blog\/broker-maria-leon-barred-by-finra-following-termination\/","name":"Broker Maria Leon Barred By FINRA Following Termination &#8212; 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