Harold Alan Schwartz (also known as Hal Schwartz) of Lutz Florida a stockbroker formerly registered with Royal Alliance Associates is the subject of a customer initiated investment related written complaint on January 27, 2020 where the customer sought damages estimated to exceed $5,000.00 based upon accusations that the customer was placed into a unsuitable investment…
Harold Alan Schwartz of Lutz Florida a stockbroker formerly employed by Royal Alliance Associates Inc. has been terminated from the securities broker dealer on February 1, 2019 based upon allegations that Schwartz violated its procedures or policies through his unauthorized transactions pertaining to a customer’s investment account. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms…