Tag Archives: James Edward Armstrong

Royal Alliance Supervisors Suspended For Failure To Supervise

December 21, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

James Edward Armstrong Sr. and his son James Edward Armstrong Jr. both of Wake Forest North Carolina and stockbrokers formerly registered with Royal Alliance Associates Inc. were fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that they failed to adequately supervise a […]

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