Were you the victim of Osaic Wealth, Inc. broker Diana Leon (CRD# 4857407)? She has been registered with Osaic Wealth, Inc. in Gaithersburg, Maryland, since 2024. He was registered with Woodbury Financial Services, Inc. in Gaithersburg, Maryland, from 2018 to 2024, LPL Financial LLC in Rockville, Maryland, in June 2022, Capital One Investing, LLC in McLean, Virginia, from 2015 to 2018, Capital One Advisors, LLC in Silver Spring, Maryland, from 2015 to 2018, and Merrill Lynch, Pierce, Fenner & Smith Incorporated in Potomac, Maryland, from 2009 to 2025, when he was terminated regarding, “conduct involving making inaccurate entries of required account reviews in an internal tracking system.”
Diana Leon Customer Complaints
She has been the subject of three customer complaints between 2025 and 2026, one of which was denied, according to her CRD report:
January 2026. “The customer, by her counsel, alleges that a structured note recommended by the representative was not in keeping with the client’s needs and objectives, and/or that the investment was not fully explained to the client.” The case is currently pending. The complaint was regarding structured notes, and it took place while he was registered with Woodbury Financial Services, Inc. and Osaic Wealth, Inc.
January 2026. “Claimants, by their counsel, allege that unnamed structured note investments recommended by the representative were not in keeping with the clients’ needs and objectives, and/or were not fully explained to them.” The case is currently pending. The complaint was regarding structured notes, and it took place while he was registered with Woodbury Financial Services, Inc. and Osaic Wealth, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Osaic Wealth, Inc. may be liable for investment or other losses suffered by Diana Leon’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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