Roderick von Lipsey (CRD #: 4270444), a broker registered with UBS Financial Services Inc., is facing pending customer disputes regarding unsuitability and misrepresentation, according to his BrokerCheck record, accessed on September 17, 2020. If you have questions about Roderick von Lipsey’s conduct as a broker, keep reading for more details about his disclosures.

Man holding a pen and signing contract.

On August 11, 2020, a client alleged that Roderick von Lipsey misrepresented certain securities and made unsuitable investment recommendations. The client is seeking $445,894; the dispute is pending.

On July 22, 2020, a client alleged that Mr. von Lipsey made unsuitable investment recommendations. The client further alleges that Mr. von Lipsey misrepresented an options overlay strategy. The dispute concerns the YES, or yield enhancement strategy. The client is seeking $1,700,000; the dispute is pending.

On October 28, 2019, a client alleged that Roderick von Lipsey made unsuitable investment recommendations and misrepresented an investment strategy. The client is seeking $500,000; the dispute is pending.

On September 19, 2019, a client alleged that Mr. von Lipsey misrepresented an investment strategy and made unsuitable investment recommendations. The client is seeking $1,400,000; the dispute is pending.

Roderick von Lipsey has passed the Series 66 Uniform Combined State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, the Series 3 National Commodity Futures Examination, the Series 10 General Securities Sales Supervisor – General Module Examination, and the Series 9 General Securities Sales Supervisor – Options Module Examination. He is a registered broker in Alabama, Arizona, California, Colorado, Connecticut, Delaware, D.C., Florida, Illinois, Kentucky, Maryland, Massachusetts, Michigan, Montana, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Virginia, and Washington.

During his 19 years of experience, Roderick von Lipsey has worked at the following firms:

  • UBS Financial Services Inc. (CRD #: 8174)
  • Goldman Sachs (CRD #: 361)

If Roderick von Lipsey was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for your free case consultation with a securities attorney.