DAVID ANDREW JONES is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 888 PROSPECT ST STES 301 & 320, LA JOLLA, CA, 92037.
DAVID ANDREW JONES has worked at WELLS FARGO CLEARING SERVICES, LLC since May 18, 2005
DAVID ANDREW JONES has 3 Disclosure Event(s).
Date: April 11, 2005 Category: Customer Dispute Allegations: LOSS OF $5,000 ATTRIBUTED "...MISREPRESENTATION, INVESTING IN SECURITIES WHICH DID NOT MEET (HER)STATED FINANCIAL AND RISK TOLERANCE, AND LACK OF DISCLOSURE REGARDING (HER) INVESTMENTS WITH UBS." ALLEGED DAMAGES. ESTIMATED TO BE OVER $5000. Broker Comment: STELLA TSAI HAD BEEN A CLIENT OF MINE FOR MORE THAN 4 YEARS. STELLA HAS BEEN AN ADVOCATE OF MY BUSINESS REFERRING CLIENTS TO ME. STELLA HAS EXPRESSED NO DISSATISFACTION WITH MY SERVICES IN THE PAST. I BELIEVE THAT THIS COMPLAINT WAS MOTIVATED THROUGH THE VINDICTIVE ACTIONS OF THE FINANCIAL ADVISOR AT UBS THAT HAS INHERITED MS. STELLA TSAI'S ACCOUNT.
Date: February 24, 2005 Category: Employment Separation After Allegations Firm Name: UBS FINANCIAL SERVICES INC. Termination Type: Discharged Allegations: EMPLOYEE PROVIDED INCONSISTENT INFORMATION DURING AN INTERNAL REVIEW.
Date: January 01, 1979 Category: Criminal Charges: MISAPPROPRIATING GRAND THEFT Disposition: MISDEMEANOR PROBATION $500 FINE Broker Comment: AFTER A HARSH BREAKUP WITH MY GIRLFRIENDARGUMENTS INSUED OVER WHAT BELONGED TO WHO I.E. TELEVISION,STEREOS, RECORDS ETC. AFTER I TOOK MY TELEVISION SHE CALLED THEPOLICE AND CHARGES WHERE FILED ON THE ADVICE OF MY LAWYER IPLED GUILTY TO MISAPPROPRIATING LOST PROPERTY.
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