Tagged with "Royal Alliance"

Royal Alliance Agrees to Pay $400,000 for Failing to Catch Brokers Who Stole Millions

Posted on January 22nd, 2020 at 2:23 PM
Royal Alliance Agrees to Pay $400,000 for Failing to Catch Brokers Who Stole Millions

Independent broker-dealer Royal Alliance Associates ("Royal Alliance") has agreed to pay $400,000 for failing to catch two former brokers who stole more than $3.8 million from customers.

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Royal Alliance to Pay $1.4 Million Over Nontraded REIT, VA Sales

Posted on August 18th, 2015 at 4:31 PM
Royal Alliance to Pay $1.4 Million Over Nontraded REIT, VA Sales

Three retirees have been awarded over $1 million from Royal Alliance Associates, Inc. of AIG Advisor Group. The retirees were urged by a former broker to take a lump-sum buyout as opposed to a lifetime annuity. 

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