FRANCIS WILLIAM MCROBERTS is currently employed as a Broker and/or Investment Adviser at ROYAL ALLIANCE ASSOCIATES, INC. located at 407 ULUNIU STREET, SUITE 211, KAILUA, HI, 96734.
FRANCIS WILLIAM MCROBERTS has worked at ROYAL ALLIANCE ASSOCIATES, INC. since January 31, 1997
Disclosure History
FRANCIS WILLIAM MCROBERTS has 1 Disclosure Event(s).
Date: May 01, 1984 Category: Regulatory Initiated By: STATE OF HAWAII-DEPARTMENT OF COMMERCE"nAFFAIRS Allegations: NOT REALLY AN ALLEGATION: I CALLED THEDEPARTMENT TO ASK A QUESTION AND THEY ADVISED ME THAT MYLICENSE EXPIRED AT THE END OF 1983. AS IT TURNED OUT, WHEN IBECAME MY OWN PRINCIPAL, MY OLD PRINCIPAL HAD PUT THROUGH ACANCELLATION THAT NEITHER MYSELF NOR THE BROKER-DEALER WASAWARE OF. Resolution: Settled Sanction Details: I HAD TO SEND RESISSION LETTER OF ALL CLIENTSWHICH WHOM I HAD SECURITIES TRANSACTIONS FROM JANUARY 1984 TOMAY 1984. NO CLIENT RESCINDED AND MY LICENSE WAS REINSTATED. Broker Comment: Not Provided
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