A.G.P.

12/31/2025: Between April 2019 and August 2022, Alliance Global violated FINRA Rules 5190 and 2010 in 55 instances by not filing, or filing untimely or inaccurate, notifications with FINRA in connection with its participation in 47 distributions of securities subject to Regulation M under the Securities Exchange Act of 1934. From at least February 2019 through August 2024, Alliance Global failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rule 5190. In addition, from at least February 2019 through the present, Alliance Global failed to establish and maintain a supervisory system, including WSPs, reasonably designed to achieve compliance with Rule 101 of Regulation M. As a result, Alliance Global violated FINRA Rules 3110(a) and (b) and 2010. For these violations, Alliance Global is censured and fined $145,000, of which $88,079 shall be paid to FINRA, and has agreed to an undertaking...

Reference 2020068424201data-portal.finra.orgfinra.org