Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 7, 2017 indicate that Texas-based National Alliance Securities broker Robert Clarke has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Clarke (CRD# 4911243).
Robert Clarke has spent 34 years in the securities industry and has been registered with National Alliance Securities in Austin, Texas since July 2017. Previous registrations include Ross Sinclaire & Associates in Cincinnati, Ohio; Mesirow Financial in Chicago, Illinois; the GMS Group in Livingston, New Jersey; Geneva Securities in Schaumburg, Illinois; and Ruan Securities Corporation. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with five US states: California, Florida, Ohio, Texas and West Virginia.
According to his BrokerCheck report, he has received three customer complaints and one regulatory sanction.
In 2016 a customer alleged Robert Clarke, while employed at Ross Sinclaire & Associates, misrepresented and recommended an unsuitable investment in collateralized mortgage obligations. The complaint settled for $120,000.
In 2014 a customer alleged Robert Clarke, while employed at Ross Sinclaire & Associates, was negligent in the handling of an account transfer, failed in his supervisory duties, unsuitably recommended collateralized mortgage obligations products, and breached his fiduciary duty. The complaint settled in 2015 for $77,205.
In 1997 a customer alleged Robert Clarke, while employed at Ross Sinclaire & Associates, breached his fiduciary duty, breached contract, made unauthorized transactions, and acted negligently. The complaint resulted in an award to the customer of more than $21,500.
In 1998 the State of Alabama sanctioned him following allegations he made securities transactions without proper registration in the state, filed an application that contained a false statement, and did not diligently supervise agents under his supervision. He was issued more than $10,000 in monetary penalties.
If you or someone you know has complaints regarding Robert Clarke, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.