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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Cabot Clark | 2205783 | 3 | 06/10/2021 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Craig Allen Hauger | 1004746 | 2 | 06/03/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Andre C Selfa | 6060137 | 1 | 06/01/2021 | Customer Dispute | Denied | $36,850.00 | $0.00 | See FINRA Report |
| Conrad Earl Pearson | 1068155 | 3 | 05/19/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Patrick Fitzgerald | 1754938 | 3 | 05/17/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Alfred Peter Czerniewski | 1675035 | 5 | 05/13/2021 | Customer Dispute | Settled | $285,000.00 | $0.00 | See FINRA Report |
| Alfred Peter Czerniewski | 1675035 | 5 | 05/13/2021 | Customer Dispute | Settled | $285,000.00 | $0.00 | See FINRA Report |
| Ferdinand P Garcia | 2066744 | 1 | 05/10/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lesley Cullen Atchley | 1508722 | 2 | 05/07/2021 | Customer Dispute | Settled | $19,290.10 | $0.00 | See FINRA Report |
| David Lee Goodrich | 2948453 | 4 | 05/05/2021 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |