Advertisement
YOU ARE HERE: LAT HomeCollectionsRoyal Alliance Associates Inc
IN THE NEWS

Royal Alliance Associates Inc

FEATURED ARTICLES
ARTICLES BY DATE
BUSINESS
January 16, 1997 | Times Staff and Wire Reports
Royal Alliance Associates Inc. agreed to settle charges filed by the Securities and Exchange Commission that it failed to supervise employees by paying a $50,000 fine and hiring an outside consultant to review its policies. Royal Alliance, a wholly owned subsidiary of Los Angeles-based SunAmerica Inc., has about 2,700 brokers and 1,500 offices nationwide. The firm neither admitted nor denied the charges in agreeing to settle the SEC allegations.
Advertisement
BUSINESS
January 16, 1997 | Times Staff and Wire Reports
Royal Alliance Associates Inc. agreed to settle charges filed by the Securities and Exchange Commission that it failed to supervise employees by paying a $50,000 fine and hiring an outside consultant to review its policies. Royal Alliance, a wholly owned subsidiary of Los Angeles-based SunAmerica Inc., has about 2,700 brokers and 1,500 offices nationwide. The firm neither admitted nor denied the charges in agreeing to settle the SEC allegations.
BUSINESS
December 14, 2006 | From Bloomberg News
Morgan Stanley and three other brokerages agreed Wednesday to refund $43.8 million in fees to settle NASD claims that they overcharged thousands of clients when selling mutual funds. Morgan Stanley DW Inc., Royal Bank of Canada subsidiary RBC Dain Rauscher Inc., Edward D. Jones & Co. and Royal Alliance Associates Inc. imposed upfront sales fees for mutual fund shares even though the funds themselves had stopped charging the fees, said the NASD, formerly the National Assn. of Securities Dealers.
BUSINESS
September 9, 1997 | CARLA LAZZARESCHI, TIMES STAFF WRITER
When Robert Pedigo met Cynthia Anderson eight years ago in San Francisco, he was lucky to have $20 in his wallet and enough in the bank to cover the next month's rent. Unpaid back taxes and student loans totaled $16,000. Saving was something other people did. Anderson, for her part, was living comfortably within her means and had accumulated a nest egg equal to six months' living expenses. If not her top priority, financial security was certainly never far from it.
Los Angeles Times Articles
|