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.
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.
Florida-561 391 1900