UBS Financial’s financial advisor and managing director Roderick Von Lipsey, based in Washington, DC, who is also associated with the Private Wealth Management practice of the firm, has been named in four separate customer complaints filed between September 2019 and January 2022. All four cases pertaining to losses suffered by customers in the Yield Enhancement …
Roderick Von Lipsey Complaints Mount Over UBS YES Read More »
Strategic Realty Trust investors are very upset after finding out that the REIT has suspended its dividend. Per filings available with the Securities Exchange Commission (SEC), Strategic Realty Trust, a non-traded real estate investment trust (REIT), earlier known by the name of TNP Strategic Retail Trust, suspended its Amended and Restated Share Redemption Program (the …
Accused of helping himself to $61K from the credit line of a client, former El Paso, Texas financial advisor from Morgan Stanley Jesus Rodriguez has been barred by the Financial Industry Regulatory Authority (FINRA) effective 29th November 2021. There are several customer disputes on his record. However, the FINRA sanctions were issued after his refusal …
Jesus Rodriguez, Morgan Stanley Financial Advisor, BARRED By FINRA Read More »
Long-time LPL Financial Advisor Cynthia Giovacchino has four customer disputes against her name. All of them emanate from her recommendations in alternative investments, mainly business development companies (BDCs) and real estate investment trusts (REITs), which have been classified as ‘unsuitable’ by these customers. Haselkorn & Thibaut has opened an investigation into Mrs. Giovacchino’s sales practices and …
Cynthia Giovacchino (LPL Financial) Faces 4 Customer Complaints Read More »
Edward Turley, a former top financial advisor from JP Morgan, is under investigation by Haselkorn & Thibaut for the handling of client accounts, sales practices, and company policies. Multiple clients of Mr. Turley have alleged they were sold products that were not suitable. Both JP Morgan and Turely were required by FINRA rules to make …
Edward Turley Investigation Continues As JP Morgan Faces Millions in Fines Read More »