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 |
|---|---|---|---|---|---|---|---|---|
| Fabio Francis Battaglia | 1078266 | 1 | 06/19/2020 | Customer Dispute | Settled | $5,960.94 | $0.00 | See FINRA Report |
| Lee Alan Duckworth | 2097591 | 5 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Lee Robare | 1057899 | 3 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter James Alofsin | 2274434 | 3 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Doyle Henry Brown | 723274 | 3 | 06/04/2020 | Customer Dispute | Settled | $31,500.00 | $0.00 | See FINRA Report |
| Steven Donald Koch | 5369256 | 2 | 06/03/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Doyle Henry Brown | 723274 | 3 | 06/02/2020 | Customer Dispute | Settled | $5,511.83 | $0.00 | See FINRA Report |
| Dennis Todd Rife | 2534229 | 1 | 05/19/2020 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Phillip Todd Cartwright | 4287303 | 3 | 05/08/2020 | Customer Dispute | Settled | $101,000.00 | $0.00 | See FINRA Report |
| Matthew J Baker | 4414494 | 2 | 05/07/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |