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 |
|---|---|---|---|---|---|---|---|---|
| Neal Aaron Slafsky | 1448417 | 2 | 08/24/2012 | Customer Dispute | Closed-No Action | $47,500.00 | $0.00 | See FINRA Report |
| Nicholas P Taverna | 2080292 | 4 | 08/23/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael James Wegge | 4418476 | 2 | 05/27/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Philip Joseph Deangelo | 4204841 | 5 | 05/14/2012 | Customer Dispute | Closed-No Action | $53,000.00 | $0.00 | See FINRA Report |
| Daniel P Marlow | 5142191 | 1 | 04/03/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Charles Enders | 1067700 | 5 | 03/19/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Sheehan | 854437 | 1 | 03/01/2012 | Customer Dispute | Closed-No Action | $6,612.82 | $0.00 | See FINRA Report |
| Francis Vincent Vitellaro | 3134394 | 4 | 12/14/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Hilary Elizabeth O'Malley | 2314563 | 4 | 09/21/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gregory Scott Aynesworth | 2317755 | 1 | 09/01/2011 | Customer Dispute | Closed-No Action | $959,764.00 | $0.00 | See FINRA Report |