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Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC

Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC

Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC 150 150 ER

Roderick Von Lipsey Investigation

November 2021- Washington, DC

According to publicly recorded records, Roderick Von Lipsey,  a broker with UBS Financial Services,  discloses 4 pending customer disputes which all relate to an options overlay strategy.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

From September of 2019 until  August of 2020, four UBS Financial Services, Inc.  customers filed FINRA cases alleging among other things:   unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.    The collective alleged damages for these 4 cases exceeds $4 Million dollars.   These cases are all still pending.

Roderick K Von Lipsey has been employed with UBS Financial Services, Inc. since September of 2007.   Before that time he was employed with Goldman, Sachs & Co.

If you have losses in an account handled by Roderick K Von Lipsey, call to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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