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FINRA Awards for Royal Alliance Associates.

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Displaying 11-20 out of 48 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0006811/07/2017Claimant(s): Christopher Haydon, Joan Haydon
Claimant Lawyers(s): David Miller
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Donald K. Eckhardt, Pamela Marcell Carroll, James A. Crouch
Hearing Site: Houston, TX
Checkmark Icon$280,751
16-0046006/05/2017Claimant(s): Ronnie Harper, Ronnie Benny Harper Revocable Living Tru
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Royal Alliance Associates., Regal Advisory Services.
Respondent Lawyers(s): Frederick A. Rafeedie
Arbitrator(s): Neil S. Jasper, Edward A. Trabin, W. Alex King
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
14-0355703/30/2017Claimant(s): Alice Caputo, Antonio Gonzalez, Belia Gonzalez, Grace Magdaluyo, Gwen Shelton, Ken Mainville, Maria Lew, Marta Eckert, Marty Grogan, Robin Logan, Terry Rhoades
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard Mccollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki, William P. Keith
Arbitrator(s): Carl B. Noelke, Ronald Chun, Arocles Aguilar
Hearing Site: San Francisco, CA
Checkmark IconExpungement
16-0067703/27/2017Claimant(s): Ruby Maddox
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates., Kathleen Tarr
Respondent Lawyers(s): G. Thomas Fleming, Paul W. Thomas
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
16-0127102/08/2017Claimant(s): Lawrence Klenk, Melanie Klenk, The Trust of Delores M. Young
Claimant Lawyers(s): Thomas K. Caldwell
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
Checkmark Icon$0
14-0181610/04/2016Claimant(s): Barbara Padillia, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki
Arbitrator(s): Isidoro Berkman, Peter H. Daly, Mario Singleton
Hearing Site: San Francisco, CA
Checkmark Icon$1,933,000
14-0172404/26/2016Claimant(s): Evelyn Johnson, Feliciano Dizon, Frank DiGrande, Harriett Eubanks, Marina Bautista, Trilby DiGrande
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Scott L. Metzger, Theodore J. Sawicki
Arbitrator(s): Joseph H. Sturdivant, Amy Seltzer, Jeffrey M. Allen
Hearing Site: San Francisco, CA
Checkmark Icon$91,908
15-0201803/22/2016Claimant(s): Christopher Carlson
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Ronald W. Sannicandro
Arbitrator(s):
Hearing Site: Minneapolis, MN
Checkmark Icon$0
12-0372102/10/2016Claimant(s): Diane Ford, Diane Savone, Iris Simmons, Janine Maxfield, Martha Nelson, Rita Wuelfing, Sylvia Reed
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Martin Olinick, Ronald L. Cameron, Michael D. Harrison
Hearing Site: Los Angeles, CA
Checkmark Icon$597,295
15-0105701/20/2016Claimant(s): Leonora Combattente
Claimant Lawyers(s): Leonora Combattente
Respondent(s): Eric Taitz, Royal Alliance Associates.
Respondent Lawyers(s): Eric Taitz, Ronald W. Sannicandro
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
Checkmark Icon$300

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