Have you lost money with financial advisor Samuel C. Clark, of Royal Alliance in South Jordan, Utah? We are looking into allegations made against Samuel Clark. Samuel or Sam Clark has been the subject of five customer complaints, one of which was filed within the last year. The recent customer alleged that Clark sold unsuitable investments in BDCs (business development companies). The investor alleged a loss of $1 million in the BDCs.

Samuel or Sam Clark has been a registered representative of Royal Alliance from 2013 to the present. He has worked at branch offices in South Jordan, Utah. Clark was previously terminated by Lincoln Financial in 2013.

Brokerage firms like Royal Alliance have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Utah and the Salt Lake City area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Royal Alliance.

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If you lost money with Samuel Clark or Royal Alliance, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.