• John Henry Swon, Formerly of Royal Alliance Associates, Barred by FINRA Following Refusal to Produce Information
• Les Leroy Barber Jr., Broker with Royal Alliance Associates, Accused of Recommending Unsuitable Private Placements
• Gary Ginsberg, Formerly of Royal Alliance Associates, Facing Customer Dispute Involving Alternative Investment Losses
• Royal Alliance Associates Agreed to Pay $400,000 for Brokers’ Misconduct
• Brokerage Firm Royal Alliance Associates Hit with $1 Million Arbitration Complaint Over Investment with GPB Capital Holdings
• Three Brokers Charged with Non-Disclosure of Outside Business Activity

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