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Aug 13, 2020
Ex-First Allied Broker Kimberly Barensten Cited for Charging Undisclosed VA Fees
Read More
Jan 23, 2020
Shlomo Strugano, Former First Allied Broker, Barred During Forgery Investigation
Read More
Nov 6, 2018
Michael Heath Sanctioned for Personal E-mails, Communications in Violation of First Allied Securities Policies
Read More
Oct 20, 2018
SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme
Read More
Nov 5, 2017
First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions
Read More
Oct 25, 2017
SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
Read More
Sep 18, 2017
"Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation
Read More
Jan 24, 2017
Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints
Read More
Dec 13, 2016
FINRA Sanctions Davood Kohan for Improperly Settling Complaint Away from Firm
Read More
