Mar 8, 2022

Michael Kiefer of Royal Alliance Associates

DID MICHAEL EDWARD KIEFER CAUSE YOU INVESTMENT LOSSES? Michael Kiefer Of Royal Alliance Associates And Formerly With Signator Investors And Transamerica Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Kiefer of Royal Alliance Associates? Michael Kiefer (CRD #4124115) who is currently registered with Royal Alliance Associates and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Michael Kiefer was associated with Signator Investors, Transamerica Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Kiefer Customer Complaint Michael Kiefer has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were there was a delay in connection with the sale of a thinly-traded stock. The customer complaint filed against Michael Kiefer’s current employer Royal Alliance Associates for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Kiefer Red Flags & Your Rights As An Investor Of course, Michael Kiefer did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Kiefer at Royal Alliance Associates, Signator Investors, and Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Michael Kiefer has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Signator Investors, and Transamerica Financial Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates Due To Michael Kiefer If you have questions about Royal Alliance Associates, Signator Investors, Transamerica Financial Advisors, and/or Michael Kiefer and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Lois Davies of Royal Alliance Associates

DID LOIS DAVIES CAUSE YOU INVESTMENT LOSSES? Lois Davies Of Royal Alliance Associates, Inc. And Formerly With Signator Investors Has One Customer Complaint For Alleged Broker Misconduct Who is Lois Davies of Royal Alliance Associates, Inc.? Lois Davies (CRD #1738537) who is currently registered with Royal Alliance Associates, Inc. and located in Broadview Heights, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Inc., Lois Davies was associated with Signator Investors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Lois Davies Customer Complaint Lois Davies has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the customer alleges that variable annuities purchased were misrepresented. Lois Davies’ customer complaint was denied and, to date, the customer has not taken any further action. Lois Davies Red Flags & Your Rights As An Investor Of course, Lois Davies did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Lois Davies at Royal Alliance Associates, Inc. and Signator Investors on alert to review carefully the activity and performance of their accounts and question whether Lois Davies has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates and Signator Investors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates, Inc. Due To Lois Davies If you have questions about Royal Alliance Associates, Inc., Signator Investors, and/or Lois Davies and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Thomas Povinelli of Royal Alliance Associates

DID THOMAS POVINELLI CAUSE YOU INVESTMENT LOSSES? Thomas Povinelli of Royal Alliance Associates, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Thomas Povinelli of Royal Alliance Associates, Inc.? Thomas Povinelli (CRD #1326492) who is currently registered with Royal Alliance Associates, Inc. and located in Old Greenwich, Connecticut is a subject of one of our many securities industry sales practice abuse investigations. Thomas Povinelli has also been the subject of the FINRA investigation that was settled without admitting or denying the allegations that he completed and submitted inaccurate applications to purchase a variable annuity to avoid New York regulations. As a result, he was suspended by FINRA in all capacities for 30 days and fined $5, 000. Thomas Povinelli Customer Complaints Thomas Povinelli has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Thomas Povinelli’s 2 customer complaints was settled in favor of investors. One of Thomas Povinelli’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Thomas Povinelli A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleges Thomas Povinelli made unsuitable investment recommendation and complains that annuity contracts were issued in wrong state. Thomas Povinelli’s alleged unsuitable recommendations in high-risk investments. Thomas Povinelli Red Flags & Your Rights As An Investor Of course, Thomas Povinelli did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Povinelli at Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Povinelli has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates, Inc. Due To Thomas Povinelli If you have questions about Royal Alliance Associates, Inc. and/or Thomas Povinelli and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Salvatore Aprile of Royal Alliance Associates

DID SALVATORE STEPHEN APRILE CAUSE YOU INVESTMENT LOSSES? Salvatore Aprile Of Royal Alliance Associates And Formerly With Signator Investors Has A Customer Complaint For Alleged Broker Misconduct Who is Salvatore Aprile of Royal Alliance Associates? Salvatore Aprile (CRD #2197270) who is currently registered with Royal Alliance Associates and located in Commack, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Salvatore Aprile was associated with Signator Investors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Salvatore Aprile Customer Complaint Salvatore Aprile has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were customer alleges that variable universal life policy purchased was unsuitable. Salvatore Aprile’s customer complaint was denied and the customers did not take any further action. Salvatore Aprile Red Flags & Your Rights As An Investor Of course, Salvatore Aprile did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Salvatore Aprile at Royal Alliance Associates and Signator Investors on alert to review carefully the activity and performance of their accounts and question whether Salvatore Aprile has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates and Signator Investors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates and Signator Investors Due To Salvatore Aprile If you have questions about Royal Alliance Associates, Signator Investors, and/or Salvatore Aprile and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Ryan Fleming of Royal Alliance Associates

DID RYAN THOMAS FLEMING CAUSE YOU INVESTMENT LOSSES? Ryan Fleming Of Royal Alliance Associates And Formerly With Hornor, Townsend & Kent And Advisory Resource Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Ryan Fleming of Royal Alliance Associates? Ryan Fleming (CRD #4378425) who is currently registered with Royal Alliance Associates and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Ryan Fleming was associated with Hornor, Townsend & Kent, Advisory Resource Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ryan Fleming Customer Complaints Ryan Fleming has been the subject of 2 customer complaints that we know about, which were filed in the last year to recover investment losses. Both of the customers’ complaints filed against Ryan Fleming’s former employer Hornor, Townsend & Kent for investment losses caused by the alleged misconduct are pending as of the date of this report. Allegations Against Ryan Fleming A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged that certain REIT investments recommended to them were not suitable, and resulted in losses. Arbitration claim alleged that Ryan Fleming recommended unsuitable investments for client’s IRA portfolios. It alleged breach of fiduciary duty and negligence, and request rescission, compensatory damages, lost opportunity costs, unspecified punitive damages, interest, costs and attorneys’ fees. Ryan Fleming Red Flags & Your Rights As An Investor Of course, Ryan Fleming did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ryan Fleming at Royal Alliance Associates, Hornor, Townsend & Kent, and Advisory Resource Group on alert to review carefully the activity and performance of their accounts and question whether Ryan Fleming has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Hornor, Townsend & Kent, and Advisory Resource Group also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates Due To Ryan Fleming If you have questions about Royal Alliance Associates, Hornor, Townsend & Kent, Advisory Resource Group, and/or Ryan Fleming and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 7, 2022

Adam Beck Formerly With Royal Alliance Associates

DID ADAM RUSSELL BECK CAUSE YOU INVESTMENT LOSSES? Adam Beck Formerly With Royal Alliance Associates, Signator Investors And Transamerica Financial Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Adam Beck formerly with Royal Alliance Associates? Adam Beck (CRD #5831873) who was formerly registered with Royal Alliance Associates and located in Rocklin, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Adam Beck was associated with Signator Investors, Transamerica Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Adam Beck Customer Complaint Adam Beck has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the exchange of a variable universal life policy to a variable annuity was unsuitable. Adam Beck’s customer complaint was settled in favor of the investors. Adam Beck Red Flags & Your Rights As An Investor Of course, Adam Beck did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Adam Beck at Royal Alliance Associates, Signator Investors, and Transamerica Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether Adam Beck has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Signator Investors, and Transamerica Financial Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Royal Alliance Associates Due To Adam Beck If you have questions about Royal Alliance Associates, Signator Investors, Transamerica Financial Advisors, and/or Adam Beck and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

William Collins of Royal Alliance Associates

DID WILLIAM CALVIN COLLINS CAUSE YOU INVESTMENT LOSSES? William Collins of Royal Alliance Associates Has a Customer Complaint for Alleged Broker Misconduct Who is William Collins of Royal Alliance Associates? William Collins (CRD #1230925) who is currently registered with Royal Alliance Associates and located in Lakeway, Texas is a subject of one of our many securities industry sales practice abuse investigations. William Collins Customer Complaint William Collins has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were customer alleges that representative failed to follow instructions resulting in trading losses. William Collins’ customer complaint was denied and the customers did not take any further action. William Collins Red Flags & Your Rights as an Investor Of course, William Collins did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of William Collins at Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether William Collins has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Royal Alliance Associates also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at Royal Alliance Associates Due to William Collins If you have questions about Royal Alliance Associates and/or William Collins and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Les Barber of Royal Alliance Associates

DID LES LEROY BARBER CAUSE YOU INVESTMENT LOSSES? Les Barber of Royal Alliance Associates Has 3 Customer Complaints for Alleged Broker Misconduct Who is Les Barber of Royal Alliance Associates? Les Barber (CRD #1256348) who is currently registered with Royal Alliance Associates and located in South Jordan, Utah is a subject of one of our many securities industry sales practice abuse investigations. Les Barber Customer Complaints Les Barber has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Les Barber’s 3 customer complaints was settled in favor of investors. One of Les Barber’s customers’ complaints was denied and the customers did not take any further action. There is currently one pending customer complaint filed against Royal Alliance Associates for investment losses caused by Les Barber’s alleged misconduct. Allegations Against Les Barber A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The claimant alleges the investments sold to him were to be safe, fixed-income investments for his retirement in accordance with his needs and financial objectives but instead, all of his retirement savings were put into highly risky and illiquid investments allegedly by Les Barber. The customer alleges Les Barber sold her unsuitable and illiquid REIT and Private Investments. The claimant alleged that Les Barber made unsuitable private placement investment recommendations. Les Barber Red Flags & Your Rights as an Investor Of course, Les Barber did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Les Barber at Royal Alliance Associates on alert to review carefully the activity and performance of their accounts and question whether Les Barber has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Royal Alliance Associates also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at Royal Alliance Associates Due to Les Barber If you have questions about Royal Alliance Associates, and/or Les Barber and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Christina Nash of Royal Alliance Associates, Inc

DID CHRISTINA ANNE NASH CAUSE YOU INVESTMENT LOSSES? Christina Anne Nash Of Royal Alliance Associates, Inc. And Formally with David Lerner Associates, Inc. Has Had Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Christina A. Nash with Royal Alliance Associates, Inc.? Christina Nash (CRD #4870294) who is currently registered with Royal Alliance Associates, Inc. and located in Pennington, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   Prior to Royal Alliance Associates, Inc., Christina Nash was associated with David Lerner Associates, Inc. and other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. David Lerner Associates, Inc. Broker Misconduct Christina Nash has been recently identified as the subject of a customer complaint filed against her former employer in the last 2 years to recover investment losses. The allegations are that Christina Nash made misrepresentations and unsuitable investment recommendations regarding REIT investments. The customer complaint filed against Christina Nash’s former employer, David Lerner Associates, Inc., for investment losses caused by her alleged misconduct is still pending. Christina Nash Red Flags & Your Rights as An Investor Of course, Christina Nash did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Christina Nash at Royal Alliance Associates, Inc., David Lerner Associates, Inc., and Signator Investors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christina Nash has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Royal Alliance Associates, Inc., David Lerner Associates, Inc., and Signator Investors, Inc. which also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at Royal Alliance Associates, Inc., and David Lerner Associates, Inc. If you have questions about Royal Alliance Associates, Inc., David Lerner Associates, Inc., Signator Investors, Inc., and/or Christina Nash and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jan 20, 2022

Scott Brown of Royal Alliance Associates, Inc

DID SCOTT STEVEN BROWN CAUSE YOU INVESTMENT LOSSES? Scott Steven Brown with Royal Alliance Associates, Inc. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year Who is Scott S. Brown with Royal Alliance Associates, Inc.? Scott Brown (CRD #4322420) who is currently registered with Royal Alliance Associates, Inc. and located in Pasadena, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Inc., Scott Brown was associated with 1st Global Capital Corp., another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Royal Alliance Associates, Inc. Broker Misconduct In his career, Scott Brown has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses.   Both of the customer complaints filed against Scott Brown’s current employer Royal Alliance Associates, Inc. for investment losses caused by his alleged misconduct have been recently denied by the firm and, to date, the customers have not yet filed their arbitration claims. Allegations Against Scott Brown A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client, who was Scott Brown’s former spouse, alleged that he blocked her account access and ability to execute transactions in further transferred money into his personal account without her knowledge or consent. The customer, who was an immediate family member to Scott Brown, alleges that the forged signature on three transfer documents. Scott Brown Red Flags & Your Rights as An Investor Of course, Scott Brown did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Scott Brown at Royal Alliance Associates, Inc. and 1st Global Capital Corp. on alert to review carefully the activity and performance of their accounts and question whether Scott Brown has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Inc. and 1st Global Capital Corp. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim to Recover Your Investment Losses at Royal Alliance Associates, Inc. If you have questions about Royal Alliance Associates, Inc., 1st Global Capital Corp., and/or Scott Brown and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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