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www.sec.gov/litigation/admin/2016/34-77362.pdf

Mar 14, 2016 ... of 1940 (“Advisers Act”) against Royal Alliance Associates, Inc. (“Royal Alliance”), . SagePoint Financial, Inc. (“SagePoint”) and FSC Securities ..... SEC v. Steadman, 967 F.2d. 5 A willful violation of the securities laws means ...

www.sec.gov/divisions/corpfin/cf-noaction/2016/royal-alliance-associates-et-al-031416-506d.pdf

Mar 14, 2016 ... This letter is in response to your letter dated March 8, 2016 ("Waiver Letter"), written on behalf of Royal Alliance Associates, Inc., SagePoint ...