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 |
|---|---|---|---|---|---|---|---|---|
| Arthur Joseph Dietz | 1210388 | 1 | 10/04/2019 | Customer Dispute | Closed-No Action | $53,377.70 | $0.00 | See FINRA Report |
| Marion Timothy Philpot | 4414205 | 1 | 08/14/2019 | 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 |
| Jeffery Michael Darwish | 3228029 | 8 | 08/09/2019 | Customer Dispute | Closed-No Action | $21,066.10 | $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 |
| Andrew Edwin Burdsall | 4043145 | 5 | 01/07/2019 | Customer Dispute | Closed-No Action | $106,202.00 | $0.00 | See FINRA Report |
| Adam David Henley | 4407698 | 1 | 01/07/2019 | Customer Dispute | Closed-No Action | $106,202.00 | $0.00 | See FINRA Report |
| Michael Lenny McGavin | 1345099 | 1 | 11/09/2018 | Customer Dispute | Closed-No Action | $19,775.00 | $0.00 | See FINRA Report |
| Sean Amin Monshipouri | 5241125 | 1 | 10/16/2018 | Customer Dispute | Closed-No Action | $75.00 | $0.00 | See FINRA Report |
| Daniel V Wilson | 2915046 | 2 | 08/30/2018 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |