Posts Tagged ‘unsuitable investment recommendations’
Dennis Karjanis Involved in 3rd Investor Allegation of Unsuitable Investment Recommendations
Dennis Karjanis (CRD #: 5280862), a broker registered with National Securities Corporation, has multiple pending investor disputes, according to his BrokerCheck record, accessed on January 8, 2021. All these disputes allege suitability rule violations – keep reading to learn more. FINRA requires that brokers only recommend investments that are suitable for their customers, taking into…
Read MoreRoderick von Lipsey Involved in Customer Dispute Regarding Yield Enhancement Strategy
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. On August…
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