Tag Archives: Robert Steven Clarke

NatAlliance Stockbroker Sanctioned For Unauthorized Trading

June 24, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Unauthorized Trading   |   Comments Off on NatAlliance Stockbroker Sanctioned For Unauthorized Trading

Robert Steven Clarke of Austin Texas a stockbroker employed by National Alliance Securities LLC (also known as NatAlliance) has been issued an Order by Kentucky Department of Financial Institutions in which he has been fined $3,000.00 and suspended as a stockbroker for five months supported by allegations that he facilitated transactions in NatAlliance customer accounts […]

Read More »

Ross Sinclaire Sued By Customer For Misrepresentation

February 20, 2018  |   Posted by :   |   Bond Fraud, Investment and Regulatory News   |   0 Comments

Robert Steven Clarke of Cincinnati Ohio is a stockbroker formerly registered with Ross Sinclaire & Associates LLC who is the subject of a customer initiated investment related arbitration claim in which the customer sought five hundred thousand dollars in damages founded on allegations that misrepresentations were made to the customer regarding collateralized mortgage obligations products. […]

Read More »