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 |
|---|---|---|---|---|---|---|---|---|
| Matthew J Baker | 4414494 | 2 | 05/07/2020 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Thomas Zitzmann | 4603874 | 1 | 05/05/2020 | Customer Dispute | Denied | $47,000.00 | $0.00 | See FINRA Report |
| Jason A Shelby | 4589734 | 2 | 04/15/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Alvin Shelby | 1746062 | 2 | 04/15/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rodney Lee Boelter | 3199789 | 4 | 04/13/2020 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Karen Irene Boykin | 4501606 | 3 | 04/02/2020 | Customer Dispute | Award / Judgment | $500,000.00 | $0.00 | See FINRA Report |
| Scott Steven Brown | 4322420 | 2 | 04/02/2020 | Customer Dispute | Denied | $1,413,150.00 | $0.00 | See FINRA Report |
| William Calvin Collins | 1230925 | 1 | 04/01/2020 | Customer Dispute | Denied | $32,787.00 | $0.00 | See FINRA Report |
| Daniel James Claric | 4797769 | 2 | 03/27/2020 | Customer Dispute | Settled | $88,000.00 | $0.00 | See FINRA Report |
| Robert William Kasten | 1009160 | 6 | 03/25/2020 | Customer Dispute | Settled | $950,000.00 | $0.00 | See FINRA Report |