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 |
|---|---|---|---|---|---|---|---|---|
| Robert William Kasten | 1009160 | 6 | 03/25/2020 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Espen Stoud Platou | 6639046 | 1 | 03/20/2020 | Customer Dispute | Settled | $5,365.00 | $0.00 | See FINRA Report |
| Fernando A Pohina | 5624328 | 4 | 03/20/2020 | Customer Dispute | Settled | $5,365.00 | $0.00 | See FINRA Report |
| Stephen Jude Denari | 5138293 | 1 | 03/18/2020 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Lee Alan Duckworth | 2097591 | 5 | 03/17/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jack Lewis Jones | 2539111 | 4 | 03/16/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Mark Lee Robare | 1057899 | 3 | 03/16/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael Paul Austin | 1466274 | 1 | 03/10/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Povinelli | 1326492 | 4 | 03/10/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Scott Steven Brown | 4322420 | 2 | 03/09/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |