Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Roberts (Roberts), currently associated with Creativeone Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Roberts recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $650,000.00 on September 06, 2024.
Claimant claims an inappropriate investment strategy involving insurance was sold to him resulting in a loss.
