Tag Archives: Supreme Alliance LLC

FINRA Censures Supreme Alliance For Failure To Supervise

March 07, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Supreme Alliance LLC is a brokerage firm headquartered in Wilmington North Carolina which has been censured by Financial Industry Regulatory Authority (FINRA) based upon accusations that it (1) failed to supervise its variable annuity business and (2) failed to supervise private securities transactions and outside business activities. Letter of Acceptance Waiver and Consent No. 201605005701 […]

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Citigroup Broker Terminated For Forging Documents

September 14, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Dwain Carroll, of Holbrook, New York, a stockbroker formerly registered with Citigroup Global Markets Inc., was terminated from employment on November 5, 2015, based upon allegations that he facilitated an unauthorized transaction involving a customer’s funds by signing a customer transfer form that the customer never authorized. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals […]

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