Our Staff has compiled our research into a database of FINRA Broker Allegations for Roderick K Von Lipsey.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Roderick K Von Lipsey | 4270444 | 4 | 08/10/2020 | Customer Dispute | Award / Judgment | $445,894.00 | $0.00 | See Allegations |
| Roderick K Von Lipsey | 4270444 | 4 | 07/22/2020 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See Allegations |
| Roderick K Von Lipsey | 4270444 | 4 | 10/28/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See Allegations |
| Roderick K Von Lipsey | 4270444 | 4 | 09/19/2019 | Customer Dispute | Settled | $1,400,000.00 | $0.00 | See Allegations |