On August 31, 2020, the 10th Circuit Court of Appeals dismissed an attempt by broker Zane Piston to vacate a decision made by a Financial Industry Regulatory Authority (FINRA) arbitration panel. In his case, Piston argued that the arbitration panel had exceeded their powers by dismissing his case as a discovery sanction. Unfortunately for Piston, The Federal…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that Virgin Islands-based Primex broker Marilee Hill is the subject of two regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Hill (CRD# 2768544). Marilee Hill has…

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Publicly available records provided by the Financial Industry Regulatory Authority on February 24th, 2016 indicate that New York-based brokerage and advisory firm Royal Alliance Associates is the subject of more than fifty customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Royal Alliance Associates…

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