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 |
|---|---|---|---|---|---|---|---|---|
| Michael Patrick Momper | 2370822 | 1 | 05/03/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jason James Peplinski | 4234120 | 4 | 04/29/2021 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Dawn Alison Strachan | 4323197 | 2 | 04/29/2021 | Customer Dispute | Settled | $999,999.00 | $0.00 | See FINRA Report |
| James John Horst | 3080075 | 1 | 04/28/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jason James Peplinski | 4234120 | 4 | 04/22/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason James Peplinski | 4234120 | 4 | 04/22/2021 | Customer Dispute | Denied | $56,400.00 | $0.00 | See FINRA Report |
| Jason James Peplinski | 4234120 | 4 | 04/22/2021 | Customer Dispute | Denied | $64,960.00 | $0.00 | See FINRA Report |
| Thomas Ardavast Kudarauskas | 2070671 | 4 | 04/20/2021 | Customer Dispute | Settled | $334,000.00 | $0.00 | See FINRA Report |
| Ryan Thomas Fleming | 4378425 | 3 | 04/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lee Alan Duckworth | 2097591 | 5 | 03/30/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |