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Articles Posted in Royal Alliance Associates

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GPB Investors Have Won Monetary Awards in 10 of 11 Arbitration Cases This Past Year

Over the past calendar year, GPB Capital investors have won over $2.4 million in monetary awards in 10 out of 11 (nearly 91%) arbitration claims that have proceeded to a final hearing.  According to public records, many other claims filed against broker-dealers who sold the private placements offered by GPB…

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Bloomington, Minnesota Financial Advisor, John Swon, Formerly of Royal Alliance Associates and Focus Financial, Barred by FINRA

The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor John Swon from the securities industry.  Mr. Swon was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation.  FINRA launched the investigation after a customer complained that Mr. Swon misappropriated or mismanaged funds entrusted to him…

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Iorio Altamirano LLP Investigates Royal Alliance Associates, Inc. Over GPB Funds

Iorio Altamirano LLP is investigating claims on behalf of defrauded investors who were victims in the GPB funds scheme. The GPB funds were marketed to independent broker-dealers and investment advisers who would, in turn, sell the GPB funds to their retail investors. According to publicly available records filed with the…

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Broker Matthew Crafa Facing Three Pending Customer Disputes Related to GPB Capital Funds

Iorio Altamirano LLP is currently investigating Royal Alliance Associates, Inc. broker Matthew Crafa who is reportedly facing three securities arbitration claims related to recommendations to invest in private placement securities issued by GPB Capital. The GPB notes, which are private securities offerings exempt from registration with the Securities and Exchange…

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