ASHLEY LI YU LIU

ASHLEY LI YU LIU is currently employed as a Broker and/or Investment Adviser at UNIONBANC INVESTMENT SERVICES, LLC located at 6221 GRAHAM HILL ROAD, FELTON, CA, 95018.

ASHLEY LI YU LIU has worked at UNIONBANC INVESTMENT SERVICES, LLC since November 27, 2017

Disclosure History

ASHLEY LI YU LIU has 1 Disclosure Event(s).

Date: August 09, 2017
Category: Employment Separation After Allegations
Firm Name: JPMorgan Chase Bank, N.A.
Termination Type: Discharged
Allegations: TERMINATED BY AFFILIATE BANK - NON SECURITIES RELATED. REGISTERED REP, IN THE CAPACITY OF AN AFFILIATE BANK EMPLOYEE, WAS TERMINATED FOR VIEWING & CONDUCTING AFFILIATE BANK ACCOUNT TRANSACTIONS FOR FRIENDS AND FAMILY AND ENTERING INACCURATE INFORMATION INTO AN INTERNAL BANK SYSTEM RELATED TO AFFILIATE BANK ACCOUNT FEE REFUNDS IN VIOLATION OF AFFILIATE BANK'S CODE OF CONDUCT POLICY.
Broker Comment: I REVERSED FEES FOR A PREVIOUS LANDLORD AND THEN QUICK PAYED HIM TO PURCHASE A DINING TABLE. THEY FELT THE RELATIONSHIP WAS MORE THAN PROFESSIONAL.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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