Royal Alliance Associates

SagePoint Financial Fined Over $1 Million – Investor Notice

SagePoint Financial Fined Over $1 Million - Investor Notice

FINRA has ordered SagePoint Financial to pay over one million in restitution to its customers in connection with early rollovers of unit investment trusts. Sagepoint Financial is one of several large broker-dealer firms within the Advisor Group network (along with FSC Securities, Royal Alliance Associates, …

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Royal Alliance Fined $400K For Theft of $3.8 Million

According to a recent report by the Financial Industry Regulatory Authority (FINRA), Royal Alliance, an independent national broker-dealer, was fined $400,000 for failure to supervise properly and in the process missed to catch two imprisoned brokers who made away with over $3.8 million from four …

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Triad Advisors Investigated Regarding GPB Capital Investor Claims

Triad Advisors Investigated Regarding GPB Capital

Ladenburg Thalmann’s most recent quarterly SEC filing reflects that Triad Advisors, one of its brokerage firms is currently the subject of six Financial Industry Regulatory Advisory (FINRA) customer arbitration complaints relating to sales of GPB Capital private placements. GPB Capital has been accused of operating …

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