“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 moreAnnetta Marie Box Investigation August 2022- Dallas, TX The FINRA records of Annetta Marie Box , a former broker with Cambridge Investment Research Advisors, disclose a recent bar from the securities…
read moreHow to Recover Losses on GPB Funds November 2021 GPB Alleged to be a Ponzi-Like Scheme GPB raised over $1.8 billion in high risk private placements that were sold to…
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 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 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…
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