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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Jay Schlang | 2755909 | 9 | 07/17/2013 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Anthony Tursi | 5514850 | 1 | 06/10/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Boyd Mulvihill | 1219059 | 2 | 06/01/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ryan Allen Sexson | 5772310 | 2 | 03/25/2013 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jordan M Whittenburg | 4820727 | 1 | 02/22/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Raymond Michael Whittenburg | 1479468 | 1 | 02/22/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Oliver Kim | 2478462 | 2 | 01/21/2013 | Customer Dispute | Closed-No Action | $121,631.00 | $0.00 | See FINRA Report |
| Joseph Michael Sigman | 4849246 | 1 | 12/04/2012 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |
| David Gerald Lampe | 828400 | 4 | 10/02/2012 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Neal Aaron Slafsky | 1448417 | 2 | 08/24/2012 | Customer Dispute | Closed-No Action | $77,500.00 | $0.00 | See FINRA Report |