JOHN ROBERT LYNN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 6070 POPLAR AVENUE, SUITE 400, MEMPHIS, TN, 38119.
JOHN ROBERT LYNN has worked at UBS FINANCIAL SERVICES INC. since November 02, 1987
Disclosure History
JOHN ROBERT LYNN has 2 Disclosure Event(s).
Date: September 06, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION, UNAUTHORIZED TRADING AND FAILURE TO FOLLOW INSTRUCTIONS. Damage Amount Requested: $7,500.00 Broker Comment: AFTER FULL DISCLOSURE, ORDERS WERE ENTERED/EXECUTED BASED ON CLIENT INSTRUCTIONS. CLIENT CHANGED MIND AND TRADE CORRECTION WAS PROCESSED ACCORDING TO FIRM POLICY.PLEASE ARCHIVE
Date: July 18, 1991 Category: Regulatory Initiated By: TENN. DEPT. OF COMMERCE & INSURANCE,SECURITIES DIVISION. Allegations: THE DIVISON ALLEGED LYNN ENGAGED IN DISHONESTAND UNETHICAL BUSINESS PRACTICES WHILE AN AGENT OF TURNER ANDSELLHORN SECURITIES. THE DIVISION SPECIFICALLY ALLEGED LYNNENGAGED IN EXCESSIVE AND UNSUITABLE TRADING IN HIS CUSTOMERSACCOUNTS. LYNN DENIED ALL OF THE DIVISION'S ALLEGATIONS ANDSOUGHT RECOVERY OF COSTS AND ATTORNEY FEES FROM THE DIVISION. Resolution: Dismissed Sanction Details: THE PARTIES ENTERED INTO A CONSENT ORDER WHICHDISMISSED THE DIVISION'S COMPLAINT WITH PREJUDICE TO THEDIVISION AND ORDERED LYNN TO BE DIRECTLY SUPERVISED ON ALL HISTRADES COMMENCING FEBURARY 5, 1991 AND ENDING NOVEMBER 4, 1991.LYNN NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT ORCONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER. Broker Comment: Not Provided
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