JAMES BERNARD LIPARI is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 700 WEST 47TH STREET STE 500, KANSAS CITY, MO, 64112.
JAMES BERNARD LIPARI has worked at UBS FINANCIAL SERVICES INC. since September 03, 2015
Disclosure History
JAMES BERNARD LIPARI has 1 Disclosure Event(s).
Date: June 06, 2014 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS. ALLEGATION ACTIVITY PERIOD FROM 8/1/2007 TO 10/31/2008. Damage Amount Requested: $5,000,000.00 Settlement Amount: $140,000.00 Broker Comment: FINANCIAL ADVISOR DENIES THE CLAIMS ASSERTED BY THE CLIENT. THIS MATTER WAS SETTLED IN ORDER TO PREVENT THE COSTS AND UNCERTAINTY OF LITIGATION. THE FINANCIAL ADVISOR DID NOT CONTRIBUTE MONETARILY TOWARD THE SETTLEMENT.
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