Anthony Prieto, Formerly of Signator Investors and Royal Alliance, Named in SEC Complaint

TAMPA, FLORIDA

Are you a current or former client of financial advisor Anthony Prieto, formerly of Royal Alliance and Signator Investors (Signator Financial) in Tampa, Florida?  The investment fraud law firm of Israels & Neuman is looking into allegations made against Anthony Prieto, who was recently named in a civil complaint filed by the Securities and Exchange Commission.

The SEC alleged that Anthony Prieto and Jason Lazarus operated Synergy Settlement Services.  Prieto and Lazarus were alleged to have fraudulently operated two purportedly charitable pooled investment trusts.  Prieto and Lazarus marketed and sold investments in the trusts and improperly diverted trustee fees to reimburse themselves for salaries and other expenses.  The Complaint was filed in the Middle District of Florida in Tampa.

Anthony Prieto was a representative of Signator Financial, then Signator Investors, from 2002 to November 2018.  Prieto was also licensed with Royal Alliance from November 2018 to July 2019.  Prieto then joined CG Advisory Services.  He worked in offices in Tampa, Florida.

As a licensed investment adviser and financial advisor, Anthony Prieto was bound by SEC and FINRA rules and regulations.  A violation of these rules and regulations could result in civil liability for Prieto, and his former brokerage firms can potentially be liable too.

Israels & Neuman PLC is a securities arbitration law firm that represents investors all over the country.  Attorney David Neuman is licensed to practice law in Florida.  Our firm has represented former clients of Royal Alliance.

View SEC Complaint:  Prieto, a SEC Complaint

View IA Check:  Prieto, a IA Check 5.3.22

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