19-03556(2).pdf
motion to vacate
2021069460901 Securities America, Inc. CRD 10205 Royal Alliance Associates, Inc. CRD 23131 SagePoint Financial, Inc. CRD 133763 AWC lp (2023-1677198008106).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069460901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Securities America, Inc. (Respondent)
Member Firm
CRD No. 10205
Royal Alliance Associates, Inc. (Respondent)
Member Firm
CRD No. 23131
SagePoint Financial, Inc. (Respondent)
Member Firm
CRD No.
2020067608101 Altin Tirana CRD 4837498 AWC va (2023-1677111608856).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 202006760810 l
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Altin Tirana (Respondent)
General Securities Representative
CRD No. 4837498
Pursuant to FINRA Rule 9216, Respondent Altin Tirana submits this Letter of Acceptance,
Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2022074689201 Imani Bailey CRD 7096388 AWC va (2023-1677111608881).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074689201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Imani Bailey (Respondent)
Former Non-Registered Fingerprint Person
CRD No. 7096388
Pursuant to FINRA Rule 9216, Respondent Imani Bailey submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
FINRA Announces Departure of Enforcement Head Jessica Hopper
WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership of the Department of Enforcement.