Thomas Oliphant was registered with LPL Financial and conducted business under the name of One Advocate Group and Grand Purpose Advocate. Oliphant is believed to have been involved with outside business activities and was discharged and terminated by LPL Financial and also had at least one prior customer complaint disclosure on his record. See: FINRA […]
Onwallstreet.com on 6/29/17 reported that the SEC is now probing Morgan Stanley and Barclays bankers on Puerto Rico bonds and the SEC may take action for their roles in Puerto Rico bond sales before a worsening financial crisis sent Puerto Rico hurtling toward bankruptcy. If you are an investor who has suffered losses with Morgan
In Financial Advisor IQ, on 6/14/17, it was reported that a former Morgan Stanley financial consultant was the subject of a securities regulatory action by the Financial Industry Regulatory Authority (FINRA) alleging that he had concealed losses in a client’s investment account. According to the article, FINRA alleged that Kim Dee Isaacson had misrepresented the