Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Scott Allen Royal [CRD: 1801461, Omaha, Nebraska]. Evidently, Scott Royal has worked for Northwestern Mutual Investment Services LLC since June 2, 1988. Read on to learn more about Scott Royal's disclosures.
Particularly, a Northwestern Mutual Investment Services LLC client filed FINRA Arbitration No. 21-01484 about Scott Royal. Notably, the client alleged that Royal provided unsuitable investment advice, breached a contract, breached a fiduciary duty, mishandled funds in life insurance policies, and failed to follow the customer’s instructions. Consequently, the client allegedly sustained damages on variable life insurance products. Therefore, on June 16, 2021, Northwestern Mutual Investment Services LLC settled this matter by paying the client $700,000 in damages.
Specifically, the State of Nebraska Department of Insurance issued Case No. 2789 8521 1 90950, sanctioning Scott Royal. Reportedly, Royal took a Northwestern Mutual life insurance application on a person who had an existing policy at another company without Royal confirming that it was replacing another policy. As a result, Royal was fined for failing to disclose the replacement.
Did securities broker Scott Royal cause you to suffer losses? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Royal and firms he worked for deny accusations of sales practice violations.
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