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Espen Platou Of Royal Alliance Associates, Inc. And Formerly With Hornor, Townsend & Kent, LLC Has A Customer Complaint For Alleged Broker Misconduct

Who is Espen Platou of Royal Alliance Associates, Inc.?

Espen Platou (CRD #6639046) who is currently registered with Royal Alliance Associates, Inc. and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Royal Alliance Associates, Inc., Espen Platou was associated with Hornor, Townsend & Kent, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Espen Platou Customer Complaint

Espen Platou has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were related to client’s instructions to hold funds in the money market that were not followed by money manager hired by Espen Platou for client. Espen Platou’s customer complaint was settled in favor of the investor.

Espen Platou Red Flags & Your Rights As An Investor

Of course, Espen Platou 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 Espen Platou at Royal Alliance Associates, Inc. and  Hornor, Townsend & Kent, LLC on alert to review carefully the activity and performance of their accounts and question whether Espen Platou has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Inc. and Hornor, Townsend & Kent, 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 Royal Alliance Associates, Inc. Due To Espen Platou

If you have questions about Royal Alliance Associates, Inc., Hornor, Townsend & Kent, LLC, and/or Espen Platou 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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