Search for: "ROYAL ALLIANCE ASSOCIATES, INC." Results 1 - 20 of 100
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
5 May 2009, 8:05 am
Last week, the SEC sanctioned brokerage firm Royal Alliance Associates, Inc. based on alleged supervision deficiencies in connection with the firm's supervision of former broker David McMillan. [read post]
14 Aug 2023, 2:11 am by The White Law Group
The White Law Group reviews the regulatory history of Royal Alliance Associates. [read post]
12 Apr 2021, 9:06 am by Iorio Altamirano
The following Royal Alliance Associates, Inc. brokers may have recommended GPB Capital funds to clients: Gary Ginsberg; Continue reading The post Iorio Altamirano LLP Investigates Royal Alliance Associates, Inc. [read post]
26 Jul 2018, 1:07 pm by Silver Law Group
Continue reading The post Silver Law Group is Investigating Gary Basralian of Royal Alliance Associates, Inc. appeared first on Securities Arbitration Lawyers Blog. [read post]
18 May 2009, 9:16 am
The SEC (Securities and Exchange Commission) has censured Royal Alliance Associates, Inc. and fined it $500,000 due to its failure to supervise one of its former advisers, David McMillan. [read post]
6 Jul 2021, 2:12 pm by Iorio Altamirano
Swon or Royal Alliance Associates, Inc., can contact New York securities arbitration law firm Iorio Altamirano LLP for a free and confidential consultation and review of their legal rights. [read post]
10 Jun 2018, 6:18 am by Adam Weinstein
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Kimberly Kitts (Kitts), formerly associated with Royal Alliance Associates, Inc. [read post]
22 Apr 2021, 6:15 am by Silver Law Group
Broker-dealers under the Advisor Group (which includes SagePoint Financial, Royal Alliance Associates Inc., Triad, Woodbury Financial Services, and FSC Securities) have increased legal reserves by about $4.4 million compared to the prior year, according to SEC filings. [read post]
25 Mar 2019, 9:15 am by Silver Law Group
The claim against William Crafa and Royal Alliance Associates is not the only one involving GPB. [read post]
27 Jul 2015, 7:28 am by D. Daxton White
Royal Allicance Associate Inc., is one of four subsidiary broker-dealers of AIG Advisor Group. [read post]
1 Nov 2023, 12:38 pm by The White Law Group
  FINRA BrokerCheck Report – Rodney Ferruso  According to this FINRA BrokerCheck report, Rodney Ferruso was affiliated with the following firms during his career, among others:11/02/2018 – 08/30/2022, ROYAL ALLIANCE ASSOCIATES, INC. [read post]
6 Jun 2018, 3:28 pm by Michael J. Giarrusso
  Publicly available information through FINRA BrokerCheck indicates that Frank Capuano was formerly affiliated with broker-dealer Royal Alliance Associates, Inc. [read post]
18 Aug 2015, 1:40 pm
From the Desk of Jim Eccleston at Eccleston Law LLC: Three retirees have been awarded over $1 million from Royal Alliance Associates, Inc. of AIG Advisor Group. [read post]
14 Jul 2021, 9:46 am by The White Law Group
For more information on the firm’s investigations, please see: Royal Alliance Associates Fined $500,000 for Unsuitable Investments Royal Alliance to pay $400,000 for Failure to Supervise If you suffered losses investing with John Swon IV, the securities attorneys at The White Law Group may be able to help you. [read post]
25 Jul 2018, 7:28 am by Renae Lloyd
Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, Woodbury Financial Services Censured & Fined According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has sanctioned four firms, Royal Alliance Associates, Inc., FSC Securities Corporation, SagePoint Financial, Inc., Woodbury Financial Services, Inc. for failure to establish, maintain and enforce a… [read post]
22 Jun 2018, 2:04 pm by Silver Law Group
Kimberly Pine Kitts (CRD #2768200) is a previously registered broker and investment advisor, last employed with Royal Alliance Associates Inc., (CRD #23131) from 2004 through 2017. [read post]