CLAREMONT, CALIFORNIA Did you invest with Rosaline Alam in Claremont, California? Our investment fraud law firm is reviewing allegations against this advisor, who was previously licensed with Pruco Securities (Prudential). She was expelled from the securities brokerage industry in June 2024 by FINRA after she failed to respond to FINRA’s investigation.

In November 2023, Pruco Securities disclosed to FINRA that Ms. Alam allegedly misappropriated funds from an elderly customer and was named as a beneficiary in the customer’s will. This prompted the investigation by FINRA. When she failed to respond to the investigation, FINRA barred her in June 2024. In addition, she has also been the subject of a December 2023 customer complaint.

Rosaline Alam was registered with Pruco Securities from August 2016 to October 2023. She was also affiliated with Lincoln Investments and worked in Claremont, California.

Our investment fraud and securities arbitration law firm has recovered millions of dollars for investors in the past, including numerous investors in California. We have represented investors against numerous brokerage firms.

FINRA AWC can be found HERE BrokerCheck Report can be found HERE

If you lost money with Rosaline Alam, or Pruco Securities, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

TRAVERSE CITY, MICHIGAN As of November 2023, Royal Gregory Fisher has been suspended by FINRA. He previously worked with SagePoint Financial and now works with McNally Financial Services. He was suspended for two months and fined $5,000.

FINRA alleged that Fisher circumvented compliance procedures with SagePoint Financial and acted as a Power of Attorney for a customer who was not a relative, acted as a Trustee of the customer’s account, and was named a Beneficiary of the customer’s trust. In particular, Mr. Fisher stood to inherit $100,000 from the customer’s Trust, and is also the executor of the customer’s estate.

Royal Gregory Fisher worked in Traverse City, Michigan. He was licensed with SagePoint Financial from 2008 to April 2021, and with McNally Financial Services from April 2021 to the present. He was also fired by SagePoint Financial regarding these allegations, and was also the subject of a 2023 customer complaint.

Stockbrokers like Royal Gregory Fisher must respond to comply with internal procedures of their brokerage firms. A failure to do so could result in liability to affected customers.

Our securities arbitration law firm represents investors throughout Michigan. We have an office in Ann Arbor, and attorney Aaron Israels maintains his law license in Michigan.

Fisher’s BrokerCheck report can be found HERE. Fisher’s FINRA AWC can be found HERE.

If you lost money with Royal Fisher or SagePoint Financial, please Contact Us at (206) 795-5798 for a free evaluation of your case.