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Royal Alliance Associates

January 22, 2019

Royal Alliance Associates – Failure to Supervise

Mass. Regulators charge Royal Alliance Associates with Failure to Supervise

Broker Gary Basralian Securities Fraud, Featured by Top Securities Fraud Attorneys, The White Law Group

August 31, 2018

New Jersey Broker Gary Basralian Pleads Guilty to Fraud

Update on Broker Gary Basralian – Securities Fraud Investigation According to

Royal Alliance

July 25, 2018

FINRA Sanctions Four Firms for Failure to Supervise VA Sales

Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, Woodbury

Gary Basralian

March 21, 2018

NJ Broker Gary Basralian Barred from Securities Industry

FINRA reportedly bars Gary Basralian for failure to provide information during an

Deutsche Bank Securities Censured & Fined
September 13, 2021
William “Jeff” Michero, Cambridge Investments, Barred from the Securities Industry
September 13, 2021
CION Investment Corp Shareholders Approve Listing Shares on NYSE
September 10, 2021
Santander Investment Securities Inc. Censured & Fined
September 9, 2021

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