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Royal Alliance Associates

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 150 150 Rex Securities Law

“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…

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Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL

Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL 150 150 ER

Anthony 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…

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John Swon, IV- Former Royal Alliance Broker-Barred From Industry by Securities Regulator-Bloomington, MN

John Swon, IV- Former Royal Alliance Broker-Barred From Industry by Securities Regulator-Bloomington, MN 150 150 ER

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…

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Kimberly Kitts-Former Royal Alliance Broker-Subject of Customer Dispute Alleging Misappropriation of Funds-Palmer, MA

Kimberly Kitts-Former Royal Alliance Broker-Subject of Customer Dispute Alleging Misappropriation of Funds-Palmer, MA 150 150 Rex Securities Law

February 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…

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Bill A. Holubec-Former Royal Alliance Stockbroker-Subject of Customer Suit-San Angelo, TX

Bill A. Holubec-Former Royal Alliance Stockbroker-Subject of Customer Suit-San Angelo, TX 150 150 Rex Securities Law

October 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…

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William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL

William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL 150 150 Rex Securities Law

April 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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Bill Holubec-Royal Alliance Broker-Discloses Pending Customer Dispute-San Angelo, TX

Bill Holubec-Royal Alliance Broker-Discloses Pending Customer Dispute-San Angelo, TX 150 150 Rex Securities Law

January 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…

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Roger B. Deal-Former Royal Alliance Broker-Discloses $3.2M Customer Dispute over Real Estate Investment

Roger B. Deal-Former Royal Alliance Broker-Discloses $3.2M Customer Dispute over Real Estate Investment 150 150 Rex Securities Law

July 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…

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First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds

First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds 150 150 Rex Securities Law

April 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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