“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…
read moreAnthony Frank Prieto Investigation June 2022-Tampa, FL According to publicly available records Anthony Frank Prieto, a currently unregistered broker who last worked for Royal Alliance Associates, Inc., discloses a pending United…
read moreJohn Swon IV Investigation November 2021- Bloomington, MN The FINRA records of John Swon, IV , a former financial advisor who was last employed by Royal Alliance Associates, Inc., disclose a…
read moreFebruary 2018-Palmer, Massachusetts Kimberly Pine Kitts was recently discharged from Royal Alliance Associates where she had been employed since 4/2004 after receiving notice from a customer’s attorney alleging conversion or misappropriation…
read moreOctober 2017-San Angelo, Texas We are investigating former Royal Alliance Associates stockbroker Bill A. Holubec. Publicly available records of Bill A. Holubec, (CRD# 1304064) , disclose that a Royal Alliance customer has filed…
read moreApril 2017- Palm Bay, FL The FINRA records of William B. Wyman , a former stockbroker who was employed by Royal Alliance Associates disclose a prior regulatory event, a pending customer dispute, two prior…
read moreJanuary 2016-San Angelo, Texas OCTOBER 2017 UPDATE-Bill Holubec is no no longer registered as a broker with Royal Alliance as of 5/2017. See this for more information. Publicly available records of Bill…
read moreJuly 2016- Columbus, Nebraska The FINRA records of Roger B. Deal , a stock broker currently employed by Geneos Wealth Management , disclose a currently pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the…
read moreApril 21, 2015 Daniel Grieco entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…
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