Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Lipman (Lipman), currently associated with Dominari Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lipman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 04, 2020.
Client alleges over-concentration, unnecessary use of margin and overall mismanagement. Client sustained substantial losses due to significant market decline in March 2020. Global pandemic led to increased market volatility and uncertainty.