US Edition2022074734102 Eduardo Leon CRD 2232647 AWC gg.pdf
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2022074734102 Eduardo Leon CRD 2232647 AWC gg.pdf
In November 2020 and February 2021, Leon recommended that three retail customers and six non-retail customers purchase and hold a volatility-linked exchange-traded note without having a sufficient understanding of its risks and features. In addition, in January 2022, Leon recommended that the same three retail customers and three of the same nonretail customers purchase a foreign currency denominated corporate bond that was not in the best inter…
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