Christopher Lippus, formerly of Arive Capital Markets, Barred from Securities Industry
Have you lost money with financial advisor Christopher Lippus of Farmingdale, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher M. Lippus. FINRA barred Lippus from the securities industry after he failed to respond to a FINRA investigation.
Christopher Lippus was a financial advisor and registered representative of Arive Capital Markets from October 2015 to July 2016. He was also affiliated with Chelsea Financial Services from March 2014 to October 2015. He worked at branch offices in Farmingdale and East Meadow, New York.
Brokerage firms like Arive Capital Markets have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York and throughout the New York City area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Lippus, Christopher FINRA AWC
Click to view: Lippus, Christopher BrokerCheck 5.23.17
If you lost money with Christopher Lippus or Arive Capital Markets, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.