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Tag: Royal Alliance

Broker Investigations

Rodney Ferruso, Royal Alliance, Barred by FINRA 

FINRA Investigates Rodney Ferruso for Short-term Trading of Mutual Funds  According to public records, FINRA has reportedly barred...

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Blog, FINRA SEC Sanctions

Osaic Wealth: Regulatory Overview

The White Law Group reviews the regulatory history of Osaic Wealth.  Osaic Wealth (CRD#: 23131/SEC#: 801-54859,8-40218), based in Jersey...

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Blog, Current Investigations

FINRA Sanctions 3 Firms for 529 Overcharges 

Securities America, Royal Alliance, and SagePoint pay Restitution to 529 plan Investors  According to a Letter of Acceptance Waiver and...

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Blog, Current Investigations

Four more Firms Sanctioned for Unsuitable GPB Offerings 

FSC Securities, Royal Alliance, SagePoint and Woodbury Censured & Fined for Unsuitable Sales of GPB Offerings    According to The...

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Blog, Current Investigations, Securities Fraud Articles

Kimberly Kitts Charged with Stealing $3 Million

Kimberly Kitts – Former Royal Alliance Broker – Cape Cod Have you suffered losses investing with Kimberly Kitts and Royal Alliance...

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Blog, Securities Fraud Articles

Top Independent Broker-Dealers According to Investment News

RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL Financial One Beacon St. Boston, MA 02108 joinlpl.com...

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