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Category Royal Alliance

Royal Alliance Associates Financial Advisor John Swon IV Barred After Allegations of Mishandling Customer Funds

July 23, 2021

John Swon IV (CRD#: 5591686) was a previously registered Broker and Investment Advisor at Royal Alliance Associates, Inc., in Bloomington, IN. He entered the securities industry in 2009 and previously worked for NYLife Securities, LLC; Edward Jones; and RBC Capital Markets Corporation. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA),…

Complaint Pending Against Royal Alliance Associates Financial Advisor Les Barber Jr. Alleging Unsuitable Recommendations

March 21, 2021

Les Barber, Jr. (CRD#: 1256348) is a dually registered Investment Advisor and Broker at Royal Alliance Associates, Inc., in South Jordan, UT. He entered the securities industry in 2004 and previously worked for Lincoln Financial Advisors Corp.; The Lincoln National Life Insurance Company; and Lincoln Financial Advisors Corp. According to publicly available records released by…

Former Royal Alliance Associates Broker, Gary Ginsberg, Has Had Four Customer Complaint Disclosures Alleging Sales Practice Misconduct

November 20, 2020

Gary Ginsberg (CRD # 1175258) is a Financial Advisor at Ameriprise Financial Services, LLC in West Orange, NJ. Gary Ginsberg has been in the securities industry since 1983 and previously worked at Royal Alliance Associates, Inc., Financial Network Investment Corporation, and Pennsylvania Securities Company. According to publicly available records released by the Financial Industry Regulatory…

Did You Purchase GPB Capital Holdings Issued Securities Through Financial Advisor Matthew Crafa?

December 12, 2019

Matthew Crafa (CRD # 3114277) is a Director at Gateway Investments in Garden City New Jersey and he is a registered Financial Advisor at Royal Alliance. Matthew Crafa has been in the securities industry since the late 1990s and previously worked at Oppenheimer and Ladenburg. According to publicly available records released by the Financial Industry…

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