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January 22, 2019
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Blog, Current Investigations
Mass. Regulators charge Royal Alliance Associates with Failure to Supervise According to an article in Investment News today, the state of Massachusetts has charged Royal Alliance Associates with failure to supervise a broker who recommended unsuitable investments to a couple, costing the investors nearly $60,000. The
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August 31, 2018
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Blog, Current Investigations, Securities Fraud
Update on Broker Gary Basralian – Securities Fraud Investigation According to reports yesterday, broker Gary Basralian, of Springfield, NJ, pleaded guilty in U.S. District Court to one count of wire fraud and one count of investment adviser fraud. Basralian, 70, admitted to stealing at least $2 million from
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July 25, 2018
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Blog
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
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March 21, 2018
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Blog, Current Investigations
FINRA reportedly bars Gary Basralian for failure to provide information during an investigation. According to the Financial Industry Regulatory Authority (FINRA), the regulator has allegedly barred Gary Basralian of Maplewood, NJ from the securities industry. On January 2, 2018, in connection with an investigation
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