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Articles Tagged with Royal alliance associates

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2019 indicate that New Jersey-based broker-dealer firm Royal Alliance Associates has received more than 60 complaints from customers and regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Royal Alliance Associates (CRD# 23131). Established […]

Publicly available records published by the Financial Industry Regulatory Authority and accessed on February 14th, 2010 indicate that New York-based brokerage and advisory firm Royal Alliance Associates has been named in a complaint by the Massachusetts Securities Division. Fitapelli Kurta is investigating allegations of misconduct against Royal Alliance Associates (CRD# 23131). Established in Delaware in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Arizona-based Royal Alliance Associates broker/adviser John Farmer has been named in a pending FINRA complaint alleging he participated in an unapproved and undisclosed outside business activity. Fitapelli Kurta is interested in hearing from investors who have […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Arizona-based Royal Alliance Associates broker/adviser Jodi Padgett has been named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Padgett (CRD# 1828918). Jodi Padgett has spent 23 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2018 indicate that Minnesota-based Royal Alliance Associates broker/adviser Barbara Hedblom recently resigned from her former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Hedblom (CRD# 1737649). Barbara […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), and accessed on July 25, 2018, indicate that former Massachusetts-based Royal Alliance Associates broker/adviser Kimberly Kitts has been charged by the SEC with “defrauding multiple clients by stealing over three million dollars from their investment and retirement […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that Minnesota-based Royal Alliance Associates broker/adviser Michael Huerbin has received a customer dispute and an unsatisfied tax lien. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Huerbin (CRD# 3168539). Michael Huerbin has […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2018 indicate that Louisiana-based Royal Alliance Associates broker/adviser Brandon Duncan has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding […]

The United States Attorney’s Office for the District of New Jersey announced today that former Royal Alliance Associates broker, Gary Basralian, was arrested and taken into custody.  Fitapelli Kurta currently represents three victims of Gary Basralian and these former Royal Alliance Associates clients are listed as “Victim 1” and “Victim 2” in the criminal complaint […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2018 indicate that Utah-based Royal Alliance Associates broker/adviser Gregory Hill has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hill (CRD# 1059087). Gregory Hill has spent 35 years in […]

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