Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Von Lipsey (Von Lipsey), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Von Lipsey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,900,000.00 on December 14, 2022.
Time frame: 2017-2019\, Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.