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 Daniel Sorrell | 4993192 | 1 | 11/11/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Alan Mappa | 1874503 | 3 | 11/09/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Mark Alan Mappa | 1874503 | 3 | 11/09/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Emmanuel D Harris | 1513927 | 4 | 11/09/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| B. David Goldstein | 1718066 | 9 | 11/07/2022 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| B. David Goldstein | 1718066 | 9 | 11/04/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Roger Lewis McDevitt | 5465484 | 1 | 10/14/2022 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Luann Chapmangatts | 2456294 | 1 | 10/12/2022 | Customer Dispute | Final | $2,167,460.00 | $0.00 | See FINRA Report |
| Jason Henry Gatts | 1034283 | 2 | 10/12/2022 | Customer Dispute | Final | $2,167,460.00 | $0.00 | See FINRA Report |
| Michael Harris Sears | 2205917 | 4 | 10/06/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |