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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Rankin Chitwood | 871271 | 1 | 03/02/2022 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Thomas Arthur Payant | 845353 | 5 | 02/21/2022 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Donald Raymond Savaglia | 3106269 | 2 | 02/07/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Thomas P Kroehle | 4388363 | 2 | 02/06/2022 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 02/02/2022 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Polheber | 2183629 | 1 | 01/31/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Anthony Rocco Giuliano | 3027789 | 1 | 01/24/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Ralph Siegfried Waller | 3196853 | 2 | 01/23/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Airung Liu | 4661602 | 2 | 01/14/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Joseph Michael Cason | 2455720 | 10 | 01/14/2022 | Customer Dispute | Pending | $236,085.00 | $0.00 | See FINRA Report |