Tag Archives: James S. Witter

Royal Alliance Associates Principal Suspended for Failure to Supervise

December 24, 2015  |   Posted by :   |   Failure To Supervise, Unsuitable Investment Recommendations   |   0 Comments

James S. Witter of Garden City, New York, a registered representative with Royal Alliance Associates, Inc., was fined $5,000 and suspended for two months from association with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity after consenting to findings that Witter failed to reasonably supervise a registered representative who engaged in unsuitable […]

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