Clifton Hideki Roberts of Houston Texas a stockbroker formerly registered with LPL Financial LLC has been discharged by the firm on April 25, 2018 based upon accusations that Roberts failed to abide by the firm’s policy concerning outside business activities.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Roberts is referenced in two customer initiated investment related disputes pertaining to allegations of his misconduct while employed with Chase Investment Services Corp. Specifically, on November 29, 2010, a customer filed an investment related complaint concerning Roberts’ activities in which the customer sought $26,900.00 in damages founded on allegations that misrepresentations had been made to the customer pertaining to a mutual fund investment held in the customer’s investment portfolio.
Another customer initiated investment related arbitration claim concerning Roberts’ activities was resolved for $40,000.00 in damages supported by accusations that the customer was poorly advised concerning investments executed in the customer’s managed account, and the customer’s account was inappropriately managed. FINRA Arbitration No. 10-03987 (June 27, 2012).
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