Tag Archives: Royal Alliance Associates

Royal Alliance Stockbroker Barred By Regulator

November 07, 2017  |   Posted by :   |   Selling Away and Outside Activities   |   0 Comments

William Brian Wyman, of Palm Bay, Florida, a stockbroker formerly registered with Royal Alliance Associates, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to provide FINRA with information regarding his business activities. Case No. 2016050213701 (May 8, 2017). Financial Industry Regulatory […]

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National Planning Broker Suspended For Hiding Complaints

May 25, 2017  |   Posted by :   |   Investment and Regulatory News, Non-traded REITs   |   0 Comments

Richard Anthony McCollam, of Lafayette, California, a stockbroker formerly registered with National Planning Corporation, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity pursuant to a FINRA Office of Hearing Officers’ Hearing Panel Decision containing findings that he failed to disclose customer complaints as required […]

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Rocky River Royal Alliance Broker Sells Away Smokey Marijuana Investments

June 30, 2016  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Darrin B. Farrow, of Rocky River, Ohio, a registered representative with Royal Alliance Associates, Inc., was fined $25,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in several unauthorized private securities transactions. Letter of Acceptance, Waiver and […]

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Buckman Buckman Reid Stockbroker Barred For Fraud

Glenn Robert King, of Shrewsbury, New Jersey, a stockbroker formerly with Royal Alliance, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he fraudulently omitted and misrepresented material facts to investors, prompted excessive and unsuitable transactions, and committed unauthorized discretionary trading. Department of […]

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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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