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March 04, 2022
KIRN Radio Personality Tony Barouti (Barouti Financial) Under Investigation Over Possible GWG Holdings L Bond Sales
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
July 21, 2021
UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX
March 12, 2021
Advisor Group Firms, including Royal Alliance Increase Budgets for Legal and Regulatory Issues
February 03, 2020
Royal Alliance Fined $400,000 Over $3.8 Million Theft from Customers
June 08, 2018
$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought
May 25, 2018
DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers
