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 |
|---|---|---|---|---|---|---|---|---|
| Curt A Caserta | 2709324 | 1 | 03/30/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Edward Howard Dougherty | 2753847 | 3 | 03/29/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Cynthia Marcella Bremer | 1326836 | 1 | 03/29/2021 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Lisa Ann Hehir | 735262 | 1 | 03/11/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Greg Anthony Hanson | 1836397 | 2 | 03/10/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alan Duane Douglass | 1619835 | 7 | 03/09/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan Thomas Fleming | 4378425 | 3 | 03/04/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard Joseph Davis | 2392995 | 1 | 02/17/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Alfred Peter Czerniewski | 1675035 | 5 | 02/12/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Helen Lehmann Thornton | 2451298 | 1 | 02/10/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |