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July 24, 2018
FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations
January 14, 2022
Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers
January 22, 2018
Sandeep Varma Cited for Misleading Estate Planning Seminar Communications
August 15, 2017
FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations
