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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Thomas Fleming | 4378425 | 3 | 06/23/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Francis Newsholme | 1182756 | 5 | 03/01/2022 | Customer Dispute | Closed-No Action | $11,953.20 | $0.00 | See FINRA Report |
| Erik Sylvan Sherman | 4544582 | 2 | 02/03/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Scott Steven Brown | 4322420 | 2 | 03/09/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Grant Tyler Ostrom | 4550099 | 1 | 08/13/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Katharine Auchincloss Corbin | 710131 | 3 | 04/15/2019 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Nicholas David Dalessandro | 6355371 | 1 | 11/09/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Morash | 2156085 | 1 | 12/01/2014 | Customer Dispute | Closed-No Action | $8,923.36 | $0.00 | See FINRA Report |
| Dennis Patrick Lehman | 2019289 | 3 | 09/18/2014 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Donald Lynn Hilburn | 2734017 | 1 | 04/25/2014 | Customer Dispute | Closed-No Action | $111,000.00 | $0.00 | See FINRA Report |