FINRA launched an investigation into Swon after allegations that he misappropriated client funds. John Henry Swon (CRD#: 5591686) was registered as a broker with Royal[...]
Royal Alliance Associates
The customer is seeking over $200K in damages for Barber’s alleged misconduct. Les Leroy Barber Jr. (CRD: 1256348) is registered as a broker and investment[...]
The client alleged that the due diligence review performed on an alternative investment was unreasonable. The Sonn Law Group is investigating allegations that Gary Ginsberg[...]
FINRA allegations state that two former brokers of Royal Alliance stole clients’ funds. The Sonn Law Group is investigating allegations that Royal Alliance Associates failed[...]
Former customer alleges money loss from unsuitable investments Sonn Law is investigating Royal Alliance Associates for recommending funds sold by GPB Capital Holdings. We represent[...]
Charles E. Taylor (CRD#: 443066), Jodi O. Padgett (CRD#: 1828918), John L. Farmer (CRD#: 5354041) are all registered brokers and General Securities Representatives with Royal[...]
John Farmer (CRD#: 5354041) is an actively registered representative of Royal Alliance Associates. Since 2011, Mr. Farmer has worked as a broker and investment advisor[...]
Jodi Padgett (CRD#: 1828918) is an actively registered broker and investment advisor. Since 1995, Ms. Padgett has been registered as a representative at Royal Alliance[...]