John 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 moreOctober 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis , a stockbroker who was last employed by Independent Financial Group , disclose 6 pending customer disputes and 2 prior customer disputes. The Financial…
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 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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