The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Ross Sinclaire & Associates broker Robert Clarke (CRD# 735940).
Robert Clarke has spent 32 years in the securities industry and has been registered with Ross Sinclaire & Associates in Cincinnati, Ohio since 1995. Previous registrations include Mesirow Financial in Chicago, Illinois (1995); the GMS Group in Livingston, New Jersey (1995); Geneva Securities in Schaumburg, Illinois (1990-1995); Ruan Securities Corporation (1988-1992); JW Charles Securities in Boca Raton, Florida (1989-1990); Westcap Securities (1987-1988); TMA Government Securities (1987); First Investment Securities (1985-1987); Lasater & Company (1983-1984); Crews & Associates (1982-1983); and Bache Halsey Stuart Shields (1981-1982). He is a registered broker with eighteen US states.
According to his BrokerCheck report, Robert Clarke is the subject of one regulatory sanction, one customer complaint, one pending customer complaint, and two judgments or liens.
In 2014 a customer alleged Robert Clarke, while employed at Ross Sinclaire & Associates, negligently handled an account transfer, breached his fiduciary duty, failed to supervise, and recommended an unsuitable investment in collateralized mortgage obligations (CMOs). The customer is seeking $500,000 in damages in the pending complaint.
In 2006 Beneficial Kentucky Inc. held a civil judgment or lien totaling $5,844.96 against Robert Clark. The judgment or lien remains outstanding.
In 2006 Sterling Jewelers held a civil judgment or lien totaling $10,963.60 against Robert Clarke. The judgment or lien remains outstanding.
In 1997 a customer alleged Robert Clarke, while employed at Ross Sinclaire & Associates, acted negligently, breached his fiduciary duty, breached contract, and executed unauthorized trades. The complaint resulted in an award to the customer of more than $21,500.
In 1998 the State of Alabama sanctioned Robert Clarke following allegations he was involved in the execution of transactions without registration in Alabama, the filing of an application containing a false statement, and failed to diligently supervise agents. Mr. Clarke was issued more than $5,000 in fines and other monetary penalties.
If you or someone you know has a complaint regarding Robert Clarke, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.