Working for a big firm on Wall Street may have fringe benefits, but being named as the beneficiary of $5 million in an elderly client’s will has not been known to be one. This ‘fringe benefit’ has been earned for Dinu Tise, a New Orleans-based private client advisor with JP Morgan Chase, a suspension for […]
JP Morgan Dinu Tise Advisor Suspended and Fined Read More »
A customer complaint has been filed in 2021 against Robert Omohundro, currently a financial advisor with Alexander Capital. He was earlier associated with Centaurus Financial from March 2015 to April 2020 and with J.P. Turner from 2007 till March of 2015 at which point he had moved to Centaurus. He has operated out of offices
Robert Omohundro Complaints and Investigation Read More »
Failure to supervise its registered representatives has caused the Financial Industry Regulatory Authority (FINRA) to censure and a fine of $195K for Triad Advisors. The representatives in question had recommended the LJM Preservation and Growth Fund (LJM) to customers. According to FINRA, the required due diligence of the alternative mutual fund was not carried out
Triad Advisors Fined $510K Restitution and $195K For LJM Preservation and Growth Fund Read More »
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 »