Royal Alliance Associates
Tag Archive

• Royal Alliance Associates – Failure to Supervise

  

  January 22, 2019 Comments (0) 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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• New Jersey Broker Gary Basralian Pleads Guilty to Fraud

  

  August 31, 2018 Comments (0) 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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• FINRA Sanctions Four Firms for Failure to Supervise VA Sales

  

  July 25, 2018 Comments (0) 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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• NJ Broker Gary Basralian Barred from Securities Industry

  

  March 21, 2018 Comments (0) 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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