Robert Aikins of Gateway Financial: Unauthorized Trading Complaint

September 22, 2023

Investment Losses with Rob Aikins in Green Bay, WI? Contact KlaymanToskes

National investment loss lawyers KlaymanToskes is investigating Robert Aikins a/k/a Rob Aikins (CRD# 5602971) of Gateway Financial Partners in connection with the filing of a customer complaint alleging unauthorized trading. 

Investors that suffered losses with Rob Aikins may be entitled to a financial recovery. Contact attorney Lawrence L. Klayman, Esq., for a free consultation to discuss recovery options at 888-997-9956 or lawrence@klaymantoskes.com. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.

Rob Aikins’ Customer Complaint for Unauthorized Trading: 

According to FINRA BrokerCheck, Robert Duncan Aikins is currently registered as a broker/investment advisor with LPL Financial, and is also doing business as Gateway Financial Advisors in Green Bay, WI. Aikins was also previously registered with Merrill Lynch from 2019 to 2023.

Rob Aikins has one customer complaint disclosed. The complaint alleged damages to the customer’s Merrill Lynch account due to unauthorized trading. Although the complaint was denied by the firm, investors should be aware that the denial of a customer complaint by a brokerage firm does not mean that the complaint does not have merit.

It is in a brokerage firm’s best interest to deter customers from filing complaints with FINRA. Investors may still pursue a FINRA arbitration claim to recover their investment losses by contacting KlaymanToskes.

What is Unauthorized Trading?

Unauthorized trading is a securities violation which occurs when a broker/financial advisor engages in the purchasing or selling of securities in a non-discretionary customer account without prior customer authorization. Unauthorized trading represents a sales practice violation. 

In some situations, a broker/financial advisor may receive written “discretionary” authorization to make transactions on the behalf of their customer. However, the financial professional cannot misuse that authority to make commissions from excessive trading or “churning”, or unsuitable investment strategies. 

KlaymanToskes can help you determine if you should bring a FINRA arbitration claim against your brokerage firm and/or financial advisor. Contact attorney Lawrence L. Klayman, Esq., at (888) 997-9956 or lawrence@klaymantoskes.com for a free consultation. Our firm offers legal services on a contingency fee basis, meaning we do not collect attorney’s fees unless we are able to obtain a financial recovery for you.

About KlaymanToskes

KlaymanToskes is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters. The firm has recovered over $250 million in FINRA arbitrations and over $350 million in other securities litigation matters. KlaymanToskes has office locations in California, Florida, New York, and Puerto Rico.


KlaymanToskes, P.A.
Lawrence L. Klayman, Esq.