Our Staff has compiled our research into a database of FINRA Broker Disclosures for Royal Alliance Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Martin Edward Plecinoga | 2776556 | 1 | 06/10/2002 | Customer Dispute | Award / Judgment | $733,700.00 | $206,562.00 | See FINRA Report |
| Daryl Andrew Cole | 2607997 | 2 | 06/05/2002 | Customer Dispute | Award / Judgment | $66,242.00 | $5,255.00 | See FINRA Report |
| Mark Douglas Mensack | 2639903 | 2 | 02/07/2002 | Customer Dispute | Award / Judgment | $289,689.00 | $143,000.00 | See FINRA Report |
| Ellias David Stabinsky | 1571758 | 2 | 10/29/2001 | Customer Dispute | Award / Judgment | $273,600.00 | $66,722.10 | See FINRA Report |
| Betsy Lou Whipple | 2703262 | 7 | 07/27/2001 | Customer Dispute | Award / Judgment | $100,000.00 | $10,000.00 | See FINRA Report |
| Daniel Peter Thomas | 721864 | 2 | 10/18/1999 | Customer Dispute | Award / Judgment | $50,000.00 | $15,000.00 | See FINRA Report |
| Brian Jay Tollin | 2661259 | 4 | 05/27/1998 | Customer Dispute | Award / Judgment | $408,382.00 | $15,459.20 | See FINRA Report |
| Kent Warren Miller | 805030 | 3 | 10/04/1994 | Customer Dispute | Award / Judgment | $303,000.00 | $226,000.00 | See FINRA Report |
| Philip Alan Hartwell | 1170622 | 2 | 05/25/1994 | Customer Dispute | Award / Judgment | $152,000.00 | $66,440.00 | See FINRA Report |
| Joseph Charles Dault | 868547 | 1 | 04/08/1994 | Customer Dispute | Award / Judgment | $34,477.00 | $14,000.00 | See FINRA Report |