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First Allied Securities

November 06, 2018 Michael Heath Sanctioned for Personal E-mails, Communications in Violation of First Allied Securities Policies
October 20, 2018 SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme
August 13, 2020 Ex-First Allied Broker Kimberly Barensten Cited for Charging Undisclosed VA Fees
January 23, 2020 Shlomo Strugano, Former First Allied Broker, Barred During Forgery Investigation
November 05, 2017 First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions
October 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
September 18, 2017 "Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation
January 24, 2017 Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints