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 |
|---|---|---|---|---|---|---|---|---|
| Craig William Surprise | 4321571 | 3 | 07/26/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Markland | 1487083 | 4 | 07/23/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Alan Duane Douglass | 1619835 | 7 | 07/23/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Rajvinder Singh Budwal | 2418007 | 2 | 07/08/2021 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Delano Royce Hill | 245723 | 1 | 07/02/2021 | Customer Dispute | Withdrawn | $250,000.00 | $0.00 | See FINRA Report |
| Margaret Ellen Suite-Arnold | 1399665 | 2 | 07/01/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Hurst Hoppe | 5248575 | 1 | 06/30/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Spencer Lund Weston | 1482772 | 3 | 06/30/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Swarbrick | 2444058 | 4 | 06/30/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Les Leroy Barber | 1256348 | 5 | 06/10/2021 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |