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Securities America

April 24, 2023 Securities America Broker Michael Raineri Barred for Transfering $135k from Customer's Account
January 01, 2023 Kimberly Nuessmann Sanctioned for Impersonating Deceased Customer in IRA Transfer
March 12, 2021 Advisor Group Firms, including Royal Alliance Increase Budgets for Legal and Regulatory Issues
November 17, 2020 SEC Issues Securities America Advisors Cease-and-Desist Order Over XIV, VIXY ETF Trades Resulting in Losses in Over 150 Client Accounts
December 02, 2019 SEC Bars Securities America Broker Ronald J Roach over $1 Billion DC Solar Fraud and Ponzi Scheme
October 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
September 07, 2017 Colorado Broker Bruce Page Barber Barred in Outside Business Activity Investigation
August 03, 2017 Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties