Articles Tagged with Royal Alliance Associates

Charles TaylorPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Arizona-based Royal Alliance Associates broker/adviser Charles Taylor, who has received a customer dispute, was recently named in a pending FINRA complaint alleging he participated in an unapproved and undisclosed outside business activity. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Taylor (CRD# 443066).

Charles Taylor has spent 37 years in the securities industry and has been registered with Royal Alliance Associates in Prescott, Arizona since 1989. Previous registrations include Integrated Resources Equity Corporation (1987-1989) and Financial Planners Equity Corporation (1981-1987). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 22, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 10, 1982; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 1 (Registered Representative Examination), which he obtained on May 10, 1969; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on March 20, 2003; and Series 24 (General Securities Principal Examination), which he obtained on August 5, 1982. He is a registered broker and investment adviser with 30 US states and territories.

According to his BrokerCheck report, he has received one pending regulatory complaint, one customer complaint, and one customer complaint that was denied.

Gordon RobinsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 13, 2017 indicate that former Oklahoma-based Royal Alliance Associates broker/adviser Gordon Robinson is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Robinson (CRD# 1069882).

Gordon Robinson has spent 33 years in the securities industry and has been registered with Royal Alliance Associates in Tulsa, Oklahoma since 1991. Previous registrations include Fitzgerald Dearman & Roberts (1982-1990); Royal Alliance Associates in Jersey City, New Jersey (1989); Integrated Resources Equity Corporation (1989); Anderson Bryant & Company (1988-1989); and Philadelphia Life Asset Planning Company (1987-1988). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 27, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 5, 1982; Series 7 (Examination), which he obtained on October 16, 1982; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on March 28, 2003; and Series 24 (General Securities Principal Examination), which he obtained on April 13, 1998. He is a registered broker and investment adviser with 28 US states and territories: Arkansas, California, Colorado, Florida, Indiana, Kansas, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wyoming.

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