LEADER CAPITAL CORP. of VANCOUVER, WA is an SEC-registered investment adviser (CRD 46206). Regulatory assets under management: $1.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
| Name | Role | Location |
|---|---|---|
| John Emmet Lekas | PRESIDENT, VP, SECRETARY, TREASURER | — |
| Candy Lee Dillon | CCO | — |
| LEKAS JOHN EMMET | CHIEF COMPLIANCE OFFICER; PRESIDENT/CEO; PRESIDENT/CEO/SECRETARY/TREASURER/VICE PRESIDENT (+3 more) | — |
| MCMILLEN JASON SHAMUS | VICE PRESIDENT/PRINCIPAL | — |
| GUENTHER CAREY CHRISTINE | CORPORATE SECRETARY/PRINCIPAL | — |
| DILLON CANDY LEE | CCO | — |
| DILLON CANDY L | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2004-12-06 | regulatory | THE NASD ALLEGED THAT THE COMPREHENSIVE ANTI-MONEY LAUNDERING PROGRAM ADOPTED BY LEADER CAPITAL CORP. HAD NOT BEEN DEVELOPED AND IMPLEMENTED IN A SUFFICIENTLY TIMELY MANNER. | Final | $10K |
| 2004-04-14 | civil | ACTION BROUGHT FORTH AGAINST LEADER CAPITAL CORP AND JOHN LEKAS BY THE IDAHO DEPARTMENT OF FINANCE ALLEDGING VIOLATIONS OF CERTAIN PROVISIONS OF THE IDAHO SECURITIES ACT. | Final | $20K |