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Roderick K. Von Lipsey with UBS Financial Services, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Roderick K. Von Lipsey with UBS Financial Services, Inc.?

Roderick Von Lipsey (CRD #4270444) who is currently registered with UBS Financial Services Inc. and located in Washington, D.C. is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Inc., Roderick Von Lipsey was associated with another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems.

UBS Financial Services Inc. Broker Misconduct

In his career, Roderick Von Lipsey has been the subject of 4 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. There are all pending customer complaints filed against Roderick Von Lipsey’s current employer UBS Financial Services Inc. for investment losses caused by his alleged misconduct.

Allegations Against Roderick Von Lipsey

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • Claimants counsel allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an option overlay strategy.
  • Claimants allege misrepresentation of the risks and opportunities associated with the Yield Enhancement Strategy known as the UBS-YES strategy.
  • Clients complained about a Master Limited Partnership investment that was misrepresented allegedly misrepresented.

Roderick Von Lipsey Red Flags & Your Rights as An Investor

Of course, Roderick Von Lipsey did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Roderick Von Lipsey at UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Roderick Von Lipsey has engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at UBS Financial Services, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At UBS Financial Services, Inc.

If you have questions about UBS Financial Services Inc. and/or Roderick Von Lipseyand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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