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 |
|---|---|---|---|---|---|---|---|---|
| Gary Kendall Liska | 2512188 | 4 | 05/11/2022 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| David John Stuckey | 1372887 | 3 | 05/04/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Nicholas Charles Donato | 4710998 | 1 | 04/28/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Fockler | 6322542 | 1 | 04/01/2022 | Customer Dispute | Award / Judgment | $5,000.00 | $10,000.00 | See FINRA Report |
| Thomas Povinelli | 1326492 | 4 | 03/18/2022 | Customer Dispute | Pending | $275,000.00 | $0.00 | See FINRA Report |
| Jerry Dale Brierly | 816813 | 1 | 03/07/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John Francis Newsholme | 1182756 | 5 | 03/01/2022 | Customer Dispute | Closed-No Action | $11,953.20 | $0.00 | See FINRA Report |
| Thomas Joseph Bartlett | 2783720 | 1 | 01/07/2022 | Customer Dispute | Denied | $7,228.25 | $0.00 | See FINRA Report |
| James Patrick Flaherty | 1445547 | 1 | 01/06/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ernest Fred Collyer | 2675778 | 1 | 12/31/2021 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |