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 |
|---|---|---|---|---|---|---|---|---|
| Alfred Peter Czerniewski | 1675035 | 5 | 11/03/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Scott Michael Barber | 4822754 | 3 | 10/30/2020 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Scott Michael Barber | 4822754 | 3 | 10/14/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| William Robert Slepcevich | 806137 | 3 | 10/03/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Robert William Kasten | 1009160 | 6 | 10/01/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Louis Martin Wargo | 1416101 | 6 | 09/24/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Peter Michael Maris | 2177794 | 3 | 09/23/2020 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Lisa Lynn Waterman | 2598865 | 1 | 09/17/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Kyle Sean Jobin | 4915438 | 4 | 09/14/2020 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Ryan Timothy Hitchcock | 5908547 | 1 | 09/14/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |