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Recent Posts in Royal Alliance Category

FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations

FINRA fined Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, and Woodbury Financial a total of $1 million for failing to establish and maintain adequate supervisory systems ...
Continue reading "FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations" »

$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought

An InvestmentNews report suggests that the $1.2 billion Ponzi and fraud scheme the SEC in January charged Robert H Shapiro (Sherman Oaks, California, and Aspen, Colorado)'s Woodbridge Group of ...
Continue reading "$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought" »

DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers

Former Royal Alliance Associates broker Gary John Basralian, barred from the securities industry in March 2018, faces criminal charges including wire fraud and investment adviser fraud for allegedly ...
Continue reading "DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers" »

Woodbridge Group of Companies, LLC, Under SEC Investigation for $1 Billion Fraud as Fund Misses Notes Payment

The Securities and Exchange Commission is investigating embattled California luxury real estate developer Woodbridge Group of Companies, LLC, with SEC officials claiming the company directly and ...
Continue reading "Woodbridge Group of Companies, LLC, Under SEC Investigation for $1 Billion Fraud as Fund Misses Notes Payment" »

Sharon Kwan (Quan) Fined and Suspended for Undisclosed Outside Business Activities, Joint Bank Account with Client

FINRA fined and suspended representative Sharon Melinda Kwan aka Sharon Chen or Mei Man Quan of Royal Alliance Associates' Arcadia, California branch for participating in undisclosed real estate ...
Continue reading "Sharon Kwan (Quan) Fined and Suspended for Undisclosed Outside Business Activities, Joint Bank Account with Client" »

SoCal Broker Angelo Talebi Fined & Suspended for Improper Trading in Customer's Account

FINRA suspended Los Angeles-area broker Angelo Talebi and fined him $10,000 for allegedly executing transactions in a customer's online account without advising his primary firm nor notifying this ...
Continue reading "SoCal Broker Angelo Talebi Fined & Suspended for Improper Trading in Customer's Account" »

La Mesa's Robert Earl Holaday Accused of Forging Customer Signatures

A FINRA OHO Hearing Panel found that former Royal Alliance Associates and Centaurus Financial advisor Robert Earl Holaday of La Mesa, California forged or caused the forgery of customer signatures on ...
Continue reading "La Mesa's Robert Earl Holaday Accused of Forging Customer Signatures" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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