Posts Tagged ‘unsuitable investment recommendations’
David Park of Cambridge Investment is Facing Allegations Following Risky Alternative Investments
David Park (CRD #: 4388516), a broker registered with Cambridge Investment Research in La Canada, California, is involved in an investor dispute, according to his BrokerCheck record, accessed on March 24, 2021. David Park also offers advisory services through Nettworth Financial Group. On February 26, 2021, an investor alleged that Park had sold them unsuitable,…
Read MoreAaron Turner: Investor Alleged Unsuitable Energy Security Recommendation
Aaron Turner (CRD #: 2252485), a broker registered with Ameriprise in Batavia, Illinois, is involved in a dispute regarding energy investments, according to his BrokerCheck record, accessed on January 28, 2021. On November 30, 2020, an investor alleged that Aaron Turner recommended unsuitable, high-commission investments in energy securities. The investor is seeking $50,000; the dispute…
Read MoreDennis 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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