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 |
|---|---|---|---|---|---|---|---|---|
| Scott C Embree | 5720630 | 1 | 05/26/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory George Brown | 2137212 | 1 | 05/25/2023 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Patrick Tantoco | 5249850 | 2 | 05/19/2023 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Robert Morris Friedman | 807233 | 5 | 05/05/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Allan Mears | 2516228 | 5 | 05/05/2023 | Customer Dispute | Denied | $28,212.00 | $0.00 | See FINRA Report |
| Plato Louro Guerre | 4504920 | 1 | 05/04/2023 | Customer Dispute | Denied | $85,000.00 | $0.00 | See FINRA Report |
| Melanie Krista St Franc | 6373620 | 1 | 04/30/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Kenneth Thiele | 6102260 | 3 | 04/21/2023 | Customer Dispute | Settled | $1,228,820.00 | $0.00 | See FINRA Report |
| Jack W Yvars | 6377111 | 2 | 04/20/2023 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| John Francis Donovan | 2225746 | 2 | 04/18/2023 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |