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 |
|---|---|---|---|---|---|---|---|---|
| Les Leroy Barber | 1256348 | 5 | 12/30/2020 | Customer Dispute | Denied | $237,000.00 | $0.00 | See FINRA Report |
| Jeffrey A Thorup | 2163249 | 1 | 12/29/2020 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Todd Wallace Ahrenholz | 5603346 | 1 | 12/23/2020 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Gerald Paul Gillespie | 1769990 | 3 | 12/10/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jesse Lunin-Pack | 4448224 | 1 | 12/07/2020 | Customer Dispute | Award / Judgment | $600,000.00 | $0.00 | See FINRA Report |
| Roy Evans Williams | 1161149 | 3 | 12/03/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Beau Diehl Sheedy | 6363200 | 1 | 11/30/2020 | Customer Dispute | Settled | $18,484.20 | $0.00 | See FINRA Report |
| Gregg Randall Fortune | 2701163 | 9 | 11/16/2020 | Customer Dispute | Closed-No Action | $16,434.60 | $0.00 | See FINRA Report |
| Jim Cooper | 5136807 | 1 | 11/13/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Katherine Markowski | 5980107 | 1 | 11/06/2020 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |