Tag Archives: Clifton Hideki Roberts

FINRA Sanctions LPL Stockbroker For Unauthorized Activities

September 14, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on FINRA Sanctions LPL Stockbroker For Unauthorized Activities

Clifton Hideki Roberts (also known as Cliff H. Roberts and as Clifton Sato Roberts) of Houston Texas a stockbroker formerly registered with LPL Financial LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Roberts engaged in undisclosed outside business activities while associated with […]

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LPL Fires Broker For Outside Business Activities

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 […]

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