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 |
|---|---|---|---|---|---|---|---|---|
| Louis Martin Wargo | 1416101 | 6 | 07/17/2020 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Christopher J Calandra | 2253639 | 3 | 07/17/2020 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Jeffery Michael Darwish | 3228029 | 8 | 07/17/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William James Steves | 1212140 | 1 | 07/15/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Donavon David Wagner | 1193946 | 1 | 07/14/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lee Alan Duckworth | 2097591 | 5 | 07/08/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter James Alofsin | 2274434 | 3 | 07/08/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Les Leroy Barber | 1256348 | 5 | 07/07/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William George Cummings | 2034474 | 1 | 06/29/2020 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Gerald Paul Gillespie | 1769990 | 3 | 06/23/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |