https://www.israelsneuman.com/blog/tags/royal-alliance-associates/ Wed, 20 Aug 2025 15:41:51 GMT en-us https://www.israelsneuman.com/blog/2021-6-15-joseph-faherty-reits/ https://www.israelsneuman.com/blog/2021-6-15-joseph-faherty-reits/ Tue, 15 Jun 2021 20:06:03 GMT Israels & Neuman, PLC Investigates Joseph Faherty, of Royal Alliance Associates OLD TAPPAN, NEW JERSEY – Have you lost money with financial advisor Joseph Faherty, of Royal Alliance Associates in Old Tappan, New Jersey? We are looking into allegations made against Joseph Faherty, who has been the subject of two customer complaints, one which was…

]]> Israels & Neuman, PLC Investigates Joseph Faherty, of Royal Alliance Associates OLD TAPPAN, NEW JERSEY – Have you lost money with financial advisor Joseph Faherty, of Royal Alliance Associates in Old Tappan, New Jersey? We are looking into allegations made against Joseph Faherty, who has been the subject of two customer complaints, one which was filed in 2021. The customers alleged that Faherty sold them unsuitable BDCs (business development companies) and REITs (real estate investment trusts). The customers allege a combined $900,000 in damages from the BDCs and REITs.

Joseph E. Faherty has been a registered representative of Royal Alliance Associates from 2005 to the present. He has worked at branch offices in Old Tappan, New Jersey.

Brokerage firms like Royal Alliance Associates have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Jersey. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Royal Alliance Associates.

Click to view BrokerCheck: Faherty, j BrokerCheck 6.11.21

If you lost money with Joseph Faherty or Royal Alliance Associates, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> https://www.israelsneuman.com/blog/john-swon-scam-fraud/ https://www.israelsneuman.com/blog/john-swon-scam-fraud/ Tue, 15 Jun 2021 19:02:32 GMT John Swon Fired by Royal Alliance Associates and Focus Financial BLOOMINGTON, MINNESOTA – Have you lost money with financial advisor John Swon IV of Bloomington, Minnesota? We are investigating allegations made by a former customer of John Swon. Swon was accused by a customer of misappropriating or mismanaging $110,000. Swon was then subsequently terminated by…

]]> John Swon Fired by Royal Alliance Associates and Focus Financial BLOOMINGTON, MINNESOTA – Have you lost money with financial advisor John Swon IV of Bloomington, Minnesota? We are investigating allegations made by a former customer of John Swon. Swon was accused by a customer of misappropriating or mismanaging $110,000. Swon was then subsequently terminated by his brokerage firm, Royal Alliance Associates, and his advisory firm, Focus Financial.

John H. Swon was a financial advisor and registered representative of Royal Alliance Associates from 2012 to April 2021. He was also with Focus Financial from October 2012 to April 2021. He worked at a branch office in Bloomington, Minnesota.

Brokerage firms like Royal Alliance Associates have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Minnesota in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Royal Alliance Associates.

Click to view BrokerCheck: Swon, John BrokerCheck 6.15.21

If you lost money with John Swon, Royal Alliance Associates, or Focus Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

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