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 |
|---|---|---|---|---|---|---|---|---|
| Michael Francis Zimmer | 2362447 | 1 | 06/05/2023 | Customer Dispute | Closed-No Action | $408,242.00 | $0.00 | See FINRA Report |
| Ryan Thomas Fleming | 4378425 | 3 | 06/23/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $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 |
| Gregg Randall Fortune | 2701163 | 9 | 11/16/2020 | Customer Dispute | Closed-No Action | $16,434.60 | $0.00 | See FINRA Report |
| Scott Michael Barber | 4822754 | 3 | 10/14/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Matthew Bryan Harvey | 4666068 | 1 | 09/08/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Mark Markland | 1487083 | 4 | 09/03/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jeffery Michael Darwish | 3228029 | 8 | 07/17/2020 | Customer Dispute | Closed-No Action | $0.00 | $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 |
| Mirjana Kljajic | 5133390 | 1 | 11/12/2019 | Customer Dispute | Closed-No Action | $17,000.00 | $0.00 | See FINRA Report |