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 |
|---|---|---|---|---|---|---|---|---|
| Sergio Kindler | 1690597 | 3 | 07/16/2007 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Michael Frederick Quick | 2360848 | 1 | 06/27/2007 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Kevin Paul Maltezo | 2454282 | 1 | 06/12/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Craig | 1534744 | 6 | 03/12/2007 | Customer Dispute | Closed-No Action | $24,095.00 | $0.00 | See FINRA Report |
| Michael Roc Mandrella | 863781 | 1 | 03/06/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Samuel Licary | 2260106 | 3 | 09/14/2006 | Customer Dispute | Closed-No Action | $26,842.80 | $0.00 | See FINRA Report |
| Todd Michael Haufler | 2579697 | 2 | 09/14/2006 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Lee Alan Duckworth | 2097591 | 5 | 07/31/2006 | Customer Dispute | Closed-No Action | $9,500.00 | $0.00 | See FINRA Report |
| Peter James Alofsin | 2274434 | 3 | 07/31/2006 | Customer Dispute | Closed-No Action | $9,500.00 | $0.00 | See FINRA Report |
| Patrick J Cahill | 2850598 | 2 | 06/23/2006 | Customer Dispute | Closed-No Action | $109,000.00 | $0.00 | See FINRA Report |