Advisor Alert: Our Attorneys Are Investigating Richard Keith Robertson For Investment Fraud
Did You Lose Money Because of Richard Robertson?
Filed: March 21, 2024
Richard Robertson (also known as Keith Robertson, RK Robertson) currently has one (1) pending investigation. Overall, he has been the subject of one (1) regulatory event, one (1) investigation, and one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Richard Keith Robertson.
Who Is Richard Keith Robertson?
- Advisor Name: Richard Keith Robertson
- Aliases: Keith Robertson, RK Robertson
- CRD: 2233786
- Location: San Diego, California
- Current Employer: No Longer Allowed to Practice in the Securities Industry
- Previous Firms: Triad Advisors LLC, LPL Financial LLC, and NRP Financial, Inc.
- Number of Known Customer Complaints: 1
- Number of Known Investigations: 1
- Number of Known Termination Events: 1
- Can Richard Robertson Be Sued: Yes, in Private Arbitration
- Can Richard Robertson’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $18,000
- Highest Settlement: Unknown
If you have suffered investment losses by Richard Robertson, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Richard Robertson For Broker Misconduct
As of this publication date, Richard Robertson has been the subject of 1 regulatory event, 1 investigation, and 1 customer dispute. Let’s review them below.
In August 2022, United States Securities and Exchange Commission initiated a regulatory action against or in reference to Richard Robertson for allegedly engaging in undisclosed “cherry-picking,” a practice of fraudulently allocating profitable trades to favored accounts at the expense of his advisory clients.
In October 2020, United States Securities and Exchange Commission initiated an investigation against or in reference to Richard Robertson regarding his personal and client trade allocations.
In August 2002, a complaint was filed against or in reference to Richard Robertson by a customer of UBS Financial Services Inc. alleging unauthorized trades using margin. Per the customer, he/she lost over $18,000 because of Mr. Robertson’s actions.
How To File A Claim Against Richard Robertson (previously with Triad Advisors LLC, LPL Financial LLC, and NRP Financial, Inc.) To Get Your Money Back
If you have questions about Richard Robertson, Triad Advisors LLC, LPL Financial LLC, NRP Financial, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.