Soreide Law Group is investigating possible investor claims against securities broker Christopher Joseph (also known as Christopher Todd Joseph) [CRD: 6841532, Toledo, OH]. Notably, FINRA sanctioned the securities broker, who worked for Royal Alliance Associates Inc. Allegedly, Joseph engaged in an undisclosed outside business activity and securities transaction. Here is a brief summary of FINRA’s […]

Investor Brings Dispute About Securities Broker Hal Schwartz's Investment Strategy The Financial Industry Regulatory Authority (FINRA) contains important investor-related information concerning securities broker Harold Alan “Hal” Schwartz (CRD#: 841225, Winter Springs, Florida). Namely, the securities broker is involved in three investor disputes. Clients allege sales practice violations at Leaders Group or Royal Alliance. It also […]

FINRA Sanctions Reported Against Securities Broker Allan Katz The Financial Industry Regulatory Authority (“FINRA”) contains new information about securities broker Allan Katz (CRD#: 2166004, Staten Island, New York). Specifically, FINRA issued Katz a fine and suspension to resolve allegations of his misuse of client signatures. Also, BrokerCheck shows that Royal Alliance Associates Inc. disaffiliated with […]

Client Of Royal Alliance Takes Aim At Broker Sharon Kwan For Purported Misrepresentation The Financial Industry Regulatory Authority (“FINRA”) reports troubling information on BrokerCheck in regard to broker Sharon Melinda Kwan (CRD#: 2578627, Arcadia, CA). Notably, her BrokerCheck record shows that three investors filed disputes, and that FINRA suspended her for violating FINRA rules. Evidently, […]

Royal Alliance Clients Dispute Broker Darrin Farrow's Sales Practices The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Darrin Farrow (CRD#: 1995240). Particularly, four investors brought disputes about the securities broker, who worked for Royal Alliance Associates in Rocky River, Ohio until he was permitted to resign while under suspicion […]

Soreide Law Group is investigating claims by clients that they allegedly suffered losses through the sale of AFIN due to recommendations by former Royal Alliance Associates broker: WILLIAM GALE STRACENER III (Billy Stracener) CRD#: 4219142 while working with ROYAL ALLIANCE ASSOCIATES, INC. of LAFAYETTE, LA.  Soreide Law Group recently filed a FINRA arbitration on behalf of […]