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Royal Alliance Associates, Inc.

Royal Alliance Associates, Inc. (CRD #23131, New York, New York) received a censure and fine of $20,000. The firm was also ordered to disgorge $31,035.92 in commissions. According to the regulators, the firm allowed individuals associated with the firm to act in the capacity of a registered person while their registrations with the NASD were inactive due to their failure to complete the Regulatory Element of NASD’s Continuing Education Requirement. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10000146)

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