Samantha Lompado Subject of Regulatory Actions
Samantha Lompado (CRD #: 5893501), a broker formerly registered with Royal Alliance Associates, is the subject of a regulatory action. This is according to her BrokerCheck record, accessed on August 2, 2023. For more detail, keep reading.
On April 28, 2023, FINRA alleged that Samantha Lompado had been statutorily disqualified by FINRA due to the state of California issuing a restricted license.
Earlier Regulatory Actions
On March 17, 2023, Samantha Lompado was subject to a Cease and Desist sanction in the State of Pennsylvania. She has been fined $500.
On November 30, 2021, the State California Department of Insurance revoked Samamtha Lompado’s insurance license.
On August 9, 2021, New Jersey Department of Banking and Insurance alleged that Samantha Lompado did not witness a signature on two life insurance applications.
Samantha Lompado has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
Samantha Lompado has registered with the following firms:
- Royal Alliance Associates (CRD #: 23131)
- Signator Investors (CRD #: 468)
- Northwestern Mutual Investment Services (CRD #: 2881)
Kurta Law Can Help
If you worked with Samantha Lompado and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.