{"id":7531,"date":"2019-01-14T15:48:21","date_gmt":"2019-01-14T20:48:21","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7531"},"modified":"2019-01-16T14:48:15","modified_gmt":"2019-01-16T19:48:15","slug":"douglas-leone-of-salomon-whitney-llc","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/douglas-leone-of-salomon-whitney-llc\/","title":{"rendered":"Douglas Leone of Salomon Whitney LLC"},"content":{"rendered":"<p>Douglas Leone (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2453784\" target=\"_blank\">CRD #2453784<\/a>) has been employed with Salomon Whitney Financial since March 2013.\u00a0 Previous employment includes Newport Coast Securities, Inc. from October 2008 to March 2013 and Basic Investors Inc. from August 2005 to October 2008.<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone size-medium wp-image-5069 alignleft\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/11\/Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-300x199.jpg\" alt=\"Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-300x199\" width=\"300\" height=\"199\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/11\/Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/11\/Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1-181x120.jpg 181w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Leone was barred from association with any FINRA member in all capacities. The sanctions were based on findings that Leone failed to attend an on-the-record interview during an investigation by FINRA.\u00a0 The findings stated that FINRA opened an investigation into Leone\u2019s potential unsuitable recommendations and excessive trading in customer accounts.\u00a0 FINRA twice requested that Leone appear at an on-the-record interview to provide testimony.<\/p>\n<p>The decision became final May 21, 2018.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/douglas-leone-of-salomon-whitney-llc\/\"  title=\"Continue Reading Douglas Leone of Salomon Whitney LLC\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Douglas Leone (CRD #2453784) has been employed with Salomon Whitney Financial since March 2013.\u00a0 Previous employment includes Newport Coast Securities, Inc. from October 2008 to March 2013 and Basic Investors Inc. from August 2005 to October 2008. Leone was barred from association with any FINRA member in all capacities. The sanctions were based on findings [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[579,577,580,576],"tags":[1381,1383,1359,1382,251],"class_list":["post-7531","post","type-post","status-publish","format-standard","hentry","category-broker-permanently-barred","category-finra-disciplinary-actions","category-stockbroker-misconduct","category-unsuitable-investment-advice","tag-douglas-leone","tag-douglas-leone-salomon-whitney-financial","tag-finra-arbitration-lawyer","tag-salomon-whitney-financial","tag-unsuitable-recommendations"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Douglas Leone of Salomon Whitney LLC &#8212; Securities Arbitration Lawyers Blog &#8212; January 14, 2019<\/title>\n<meta name=\"description\" content=\"Douglas Leone (CRD #2453784) has been employed with Salomon Whitney Financial since March 2013.\u00a0 Previous employment includes Newport Coast Securities, &#8212; January 14, 2019\" \/>\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\/douglas-leone-of-salomon-whitney-llc\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Douglas Leone of Salomon Whitney LLC &#8212; Securities Arbitration Lawyers Blog &#8212; January 14, 2019\" \/>\n<meta name=\"twitter:description\" content=\"Douglas Leone (CRD #2453784) has been employed with Salomon Whitney Financial since March 2013.\u00a0 Previous employment includes Newport Coast Securities, &#8212; January 14, 2019\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/11\/Leon-Vaccarelli-Fined-and-Sanctioned-by-FINRA-300x199-1.jpg\" \/>\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=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Douglas Leone of Salomon Whitney LLC &#8212; 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