Last Updated: November 2023 (Tifton, GA)
Robert Clarke Investigation Summary
Here’s what you need to know about Austin, TX, stockbroker Robert Clarke:
- Name: Mr. Robert Steven Clarke
- Current Employer: Not currently registered with FINRA
- Previous Firms: Natalliance Securities, Ross, Sinclaire & Assoc, Mesirow Financial
- Function: Stock Broker/ Financial Advisor
- Aliases: Robert Clarke
- Primary Location: Austin, Texas
- CRD 735940
- Can Robert Clarke be sued in FINRA arbitration: Yes
- Sanctioned by securities regulators: Yes
- Highest Settlement or Award: $125,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Robert Clarke As Your Stockbroker?
Robert Clarke has been sanctioned for selling securities in the States of Alabama and Kentucky while unregistered in those states.
A FINRA arbitration panel awarded a customer of Ross, Sinclaire & Assoc. $21,548 in a case alleging that Clarke traded an account without authority.
Four other cases brought by customers of Ross, Sinclaire & Assoc./ Robert Clarke were settled with cash payments.
Allegations of Broker Misconduct Against Robert Clarke
Customers of Robert Clarke have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to purchase mortgage backed securities
- Misrepresentation of CMO products
- Unauthorized Trading
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Robert Clarke, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
