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 |
|---|---|---|---|---|---|---|---|---|
| Steven Joseph Schmitz | 1432690 | 7 | 06/16/2006 | Customer Dispute | Closed-No Action | $9,273.41 | $0.00 | See FINRA Report |
| Daniel J Zentner | 4323706 | 1 | 05/05/2006 | Customer Dispute | Closed-No Action | $230,000.00 | $0.00 | See FINRA Report |
| Darren Mitchell Brennan | 2729234 | 4 | 03/21/2006 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |
| Joseph Gerard Campisi | 2144087 | 1 | 11/23/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael G Rose | 2776679 | 1 | 10/21/2005 | Customer Dispute | Closed-No Action | $38,000.00 | $0.00 | See FINRA Report |
| Edward Lynn Williams | 2166651 | 1 | 10/03/2005 | Customer Dispute | Closed-No Action | $18,400.00 | $0.00 | See FINRA Report |
| Cesar Hugo Lopez | 2265364 | 7 | 08/23/2005 | Customer Dispute | Closed-No Action | $240,000.00 | $0.00 | See FINRA Report |
| Todd Thomas Turowski | 2895520 | 4 | 08/22/2005 | Customer Dispute | Closed-No Action | $537,576.00 | $0.00 | See FINRA Report |
| Stephen Wayne Mattocks | 2193216 | 3 | 06/07/2005 | Customer Dispute | Closed-No Action | $10,503.60 | $0.00 | See FINRA Report |
| Darren Bradley Gutshall | 2872682 | 1 | 05/26/2005 | Customer Dispute | Closed-No Action | $6,270.00 | $0.00 | See FINRA Report |