DID ANDREW RICARDO ROYBAL CAUSE YOU INVESTMENT LOSSES?
Andrew Roybal Of LPL Financial LLC And Formerly With Unionbanc Investment Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct
Who is Andrew Roybal of LPL Financial LLC?
Andrew Roybal (CRD #2675889) who is currently registered with LPL Financial LLC and located in San Diego, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial LLC, Andrew Roybal was associated with Unionbanc Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Andrew Roybal Customer Complaints
Andrew Roybal has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Andrew Roybal’s 4 customer complaints were settled in favor of investors. Two of Andrew Roybal’s customer complaints were denied and, to date, the customers have not taken any further action.
Allegations Against Andrew Roybal
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Failure to follow instructions with regard to manage account.
- Failure to disclose the risk of loss of principal in connection with a mutual fund investment.
- Misrepresentation and unsuitable investment recommendations into a variable annuity.
- Customer alleged that a variable universal life insurance policy was misrepresented.
Andrew Roybal Red Flags & Your Rights As An Investor
Of course, Andrew Roybal did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Andrew Roybal at LPL Financial LLC and Unionbanc Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Andrew Roybal has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC and Unionbanc Investment Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Andrew Roybal
If you have questions about Andrew Roybal at LPL Financial LLC, Unionbanc Investment Services, LLC and/or Andrew Roybal and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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