National investment loss lawyers KlaymanToskes is investigating broker Mark Roberts (CRD #2734867) of CreativeOne Securities and Affinity Asset Management.
According to FINRA BrokerCheck, Mark Roberts of CreativeOne Securities, also doing business as Affinity Asset Management, is facing a pending $650,000 customer complaint alleging he recommended an unsuitable investment strategy involving indexed universal life insurance.
Investors that suffered losses with broker Mark Roberts are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Financial Advisor Mark Roberts is currently facing a customer complaint alleging $650,000 in damages related to an indexed universal life insurance investment strategy that was unsuitable for the customer. According to FINRA BrokerCheck, Roberts is registered as a broker and investment advisor with CreativeOne Securities, and is also reportedly doing business as Affinity Asset Management.
A separate disclosure reports Roberts’ 2008 departure from Thrivent Investment Management. The disclosure states the firm terminated his employment following allegations of false representations, discretionary trading, acceptance of trade authorizations via email, and violations of firm policies.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Mark Roberts, or have concerns regarding your investment portfolio at CreativeOne Securities, Affinity Asset Management, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.