Irvine financial advisor, Taylor Thompson, has allegedly fallen foul, standing in the line of fire of an investor complaint. According to this accusation lodged by a disgruntled investor, it appears our modern Icarus may have flown too close to the sun with a high-risk investment strategy, leading to a million-dollar inferno. But who is Taylor […]
Taylor Thompson (UBS Advisor) Receives $1 Million Investor Complaint Read More »
Robert Turner, a former UBS financial advisor, based in Texas is being pursued by his one-time employer UBS for misappropriation of funds and causing losses exceeding $17 million in the accounts of 23 customers of the firm. The period of the alleged wrongdoing is a fairly stretched-out period lasting 24 years according to KWTX, based
Former UBS Financial Advisor Robert Turner Sued For $17M Customer Fraud Read More »
The Yield Enhancement Strategy (YES) of UBS Financial has invited one more Financial Industry Regulatory Authority (FINRA) arbitration claim for UBS Financial. This one has been filed by clients of Frank Frederick Baldwin and Brian Jay Donaldson. According to their BrokerCheck report, this opens the account of customer disputes for Baldwin while for Donaldson, though
More Claims Filed Against UBS Yield Enhancement Strategy (YES) Read More »
CHRISTOPHER R. BLACK (a/k/a CHRIS BLACK), FINRA CRD #2186558 is registered with UBS Financial Services Inc. in Houston, TX since November 2015. Haselkorn and Thibaut are currently investigating the sales practices of Chris Black. According to Financial Regulatory Authority (FINRA) Brokercheck, Chris Black discloses a September 2019 customer dispute alleging damages of $1 million related
UBS Financial Advisor Chris Black Investigated Read More »