Articles Tagged with Royal Alliance Associates

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Jerald AloofPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that New Jersey-based Royal Alliance Associates broker/adviser Jerald Aloof has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Aloof (CRD# 1567086).

Jerald Aloof has spent 31 years in the securities industry and has been registered with Royal Alliance Associates in Clark, New Jersey since 2003. Previous registrations include UBS Painewebber in Weehawken, New Jersey (1993-2003); Dean Witter Reynolds in Purchase, New York (1989-1993); Shearson Lehman Hutton in New York, New York (1988-1989); and EF Hutton & Company (1986-1988). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 20, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 9, 1986; Series 3 (National Commodity Futures Examination), which he obtained on October 22, 1986; Series 7 (General Securities Representative Examination), which he obtained on September 22, 1986; Series 53 (Municipal Securities Principal Examination), which he obtained on June 15, 2010; and Series 24 (General Securities Principal Examination), which he obtained on December 28, 2009. He is a registered broker and investment adviser with 13 US states and territories: California, Colorado, Connecticut, Delaware, Florida, Massachusetts, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, and Rhode Island.

According to his BrokerCheck report, he has received one customer complaint and two unsatisfied tax liens.

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Erven FrericksPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that former Missouri-based Royal Alliance Associates broker/adviser Erven Frericks Jr., who has received a pending customer dispute, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Frericks (CRD# 706056).

Erven Frericks has spent 38 years in the securities industry and was most recently registered with Royal Alliance Associates in Chesterfield, Missouri (1997-2019). Previous registrations include Walnut Street Securities in El Segundo, California (1990-1997); American Capital Equities (1987-1990); FFP Securities (1985-1987); First Affiliated Securities (1980-1986); and FSC Securities Corporation (1980). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 28, 1980; Series 7 (General Securities Representative Examination), which he obtained on March 15, 1980; and Series 24 (General Securities Principal Examination), which he obtained on February 20, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and was discharged from a former employer in connection to alleged rule violations.

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Michael HansonPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that California-based Royal Alliance Associates broker/adviser Michael Hanson has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hanson (CRD# 1832012).

Michael Hanson has spent eleven years in the securities industry and has been registered with Royal Alliance Associates in Camarillo, California since 2007. He was previously registered with Park Avenue Securities in Camarillo, California (2007). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 31, 2007; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 26, 2007; and Series 7 (General Securities Representative Examination), which he obtained on March 19, 2007. He is a registered broker and investment adviser with eight US states: Arizona, California, Colorado, Florida, Hawaii, Maryland, Oregon, and Texas. He is registered with one self-regulatory organization (SRO): FINRA.

According to his BrokerCheck report, he has received one pending customer complaint.

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Sharon Kwan

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that California-based Royal Alliance Associates broker/adviser Sharon Kwan has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Kwan (CRD# 2578627).

Sharon Kwan has spent 22 years in the securities industry and has been registered with Royal Alliance Associates in Arcadia, California since 2013. Previous registrations include National Planning Corporation in Arcadia, California and Royal Alliance Associates in Orange, California. She is a registered broker and investment adviser with three US states: California, Texas and Utah.

According to her BrokerCheck report, Sharon Kwan was recently sanctioned by FINRA in connection to alleged rule violations.

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 Luis RamosPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2017 indicate that former New York-based Royal Alliance Associates broker Luis Ramos has been the subject of a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ramos (CRD# 2998787).

Luis Ramos has spent 19 years in the securities industry and was most recently registered with Royal Alliance Associates in Flushing, New York (2006-2017). Previous registrations include Prime Capital Services in Flushing, New York (1999-2006); Royal Alliance Associates in Jersey City, New Jersey (1998-1999); and MH Meyerson & Company in Jersey City, New Jersey (1998). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Luis Ramos has received one customer complaint and one denied customer complaint.

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Patrick HowellPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that Connecticut-based MML Investors Services broker/adviser Patrick Howell has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Howell (CRD# 4759452).

Patrick Howell has spent 11 years in the securities industry and has been registered with MML Investors Services in Hamden, Connecticut since May 2017. Previous registrations include Ameriprise Financial Services in Troy, Michigan (2014-2015); Royal Alliance Associates in Birmingham, Michigan (2009-2014); Sigma Financial Corporation in Birmingham, Michigan (2009); National Planning Corporation in Novi, Michigan (2006-2009); and Investors Capital Corporation in Bingham Farms, Michigan (2004-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with two US states: Connecticut and Michigan.

According to his BrokerCheck report, he has received one pending customer complaint.

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Bill HolubecPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 8, 2017 indicate that Texas-based Royal Alliance Associates broker/adviser Bill Holubec has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Holubec (CRD# 1304064).

Bill Holubec has spent 32 years in the securities industry and has been registered with Royal Alliance Associates in San Angelo, Texas since 1994. Previous registrations include Princor Financial Services in Des Moines, Iowa; Walnut Street Securities in El Segundo, California; Anchor National Financial Services; and Integrated Resources Equity Corporation. He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 53 (Municipal Securities Principal Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with 28 US states and territories.

According to his BrokerCheck report, Bill Holubec has received one customer complaint and one pending customer complaint.

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Bill HolubecPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2016 indicate that Texas-based Royal Alliance Associates broker/adviser Bill Holubec has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Holubec (CRD# 1304064).

Bill Holubec has spent 31 years in the securities industry and has been registered with Royal Alliance Associates in San Angelo, Texas since 1994. Previous registrations include Princor Financial Services in Des Moines, Iowa; Walnut Street Securities in El Segundo, California; Anchor Financial Services; and Integrated Resources Equity Corporation. He is a registered broker and investment adviser with 27 US states and territories. Continue reading →

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Publicly available records released by the Securities and Exchange Commission (SEC) on March 14, 2016 indicate that the SEC has filed a complaint against New York-based brokerage/advisory firm Royal Alliance Associates. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Royal Alliance Associates (CRD# 23131).

Formed in Delaware in 1988, Royal Alliance Associates is headquartered in New York, New York and registered with 52 US states and territories. Dmitry Goldin is President and Chief Executive Officer; Robert Guldner is Chief Compliance Officer, Investment Advisory; Inger Fields is Vice President, Treasurer, and Financial Operations Principal; Matthew Schlueter is Chief Operations Officer; Erica McGinnis is Chairperson; Justin Sacca is Executive Vice President and Chief Compliance Officer; Noah Sorkin is Executive Vice President, General Counsel, and Secretary; Thomas Sidlo is Municipal Principal.  Royal Alliance Associates is indirectly owned by American Investment Group (AIG). Continue reading →