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FINRA Broker Allegations

Allegations against: Roderick K Von Lipsey

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Time frame: starting in september 2017 claimant's counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. Claimant's counsel further alleges unsuitability of certain investments, and that such investments resulted in principal losses.

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