Royal Alliance Associates

There are Recent Customer Complaints with Broker Gregory Dolin in Firm Royal Alliance Associates, INC.

April 15, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Dolin (Dolin), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dolin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,760.00 on January 22, 2021.

Unsuitable investment recommendation in private fund

There are Recent Customer Complaints with Broker Mark Hittner in Firm Royal Alliance Associates, INC.

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Hittner (Hittner), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hittner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on February 03, 2021.

Claimants allege that Mr. Hittner recommended alternative investments that were unsuitable.

Broker Edward Lane in Royal Alliance Associates, INC. Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Lane (Lane), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lane recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $350,000.00 on July 20, 2021.

Claimants allege that the representative recommended investments that were unsuitable.

Broker John Hwee in Royal Alliance Associates, INC. Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hwee (Hwee), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hwee recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint with a damage request of $6,000.00 on September 30, 2021.

It is alleged that FP solicited a personal loan of $6,000 from Claimant and did not pay back that loan.

There are Recent Customer Complaints with Broker Thomas Rydell in Firm Royal Alliance Associates, INC.

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rydell (Rydell), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rydell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $250,000.00 on October 14, 2021.

Claimant alleged that Respondents mismanaged his discretionary account by investing in unsuitable securities that underperformed the S&P 500.

Broker John Swon in Royal Alliance Associates, INC. Firm Has Customer Complaint

January 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Swon (Swon), previously associated with Royal Alliance Associates, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Swon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 30, 2023.

Swon used fraudulent and dishonest practices and demonstrated untrustworthiness by (a) fabricating twelve investment account statements, and (b) misappropriating more than $100,000 from a nonprofit organization.

Broker Ernest Collyer in Royal Alliance Associates, INC. Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Collyer (Collyer), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Collyer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on December 31, 2021.

Individual other than, but associated with, customer alleges that representative failed to follow customer’s instructions to change beneficiary on retirement account.

There are Recent Customer Complaints with Broker Ernest Collyer in Firm Royal Alliance Associates, INC.

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Collyer (Collyer), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Collyer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on December 31, 2021.

Individual other than, but associated with, customer alleges that representative failed to follow customer’s instructions to change beneficiary on retirement account.

There are Recent Customer Complaints with Broker Jerry Brierly in Firm Royal Alliance Associates, INC.

December 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Brierly (Brierly), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brierly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on March 07, 2022.

Client alleges that the representative failed to understand the tax ramifications of terminating an annuity resulting in early distribution penalties as well as a sizeable tax liability.

There are Recent Customer Complaints with Broker Stephen Gooditis in Firm Royal Alliance Associates, INC.

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Gooditis (Gooditis), previously associated with Royal Alliance Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Gooditis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,618.48 on July 20, 2022.

Customers alleged that a variable annuity they purchased in March 2022 was not appropriate for them