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 »
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 »
Haselkorn & Thibaut (InvestmentFraudLawyers.com) is actively investigating financial advisors’ sales practices, unsuitable investments, and supervisory practices at Concorde Investment Services. We have received many calls from investors have alleged to be improperly sold investment products that were later found to be unsuitable and high risk. Several have filed lawsuits (FINRA) claims against Concorde to recover
Concorde Investment Services Investigated By Investment Fraud Lawyers 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 »
SagePoint Financial Advisors, a subsidiary of the Advisor Group, has been censured by the Financial Industry Regulatory Authority (FINRA) and a fine of $700K levied for failing to supervise brokers who had a misconduct history. According to a letter of acceptance, waiver, and consent (AWC) shared by FINRA, the findings in this case against SagePoint
SagePoint Financial Fined 700K and Censured By FINRA Read More »