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 |
|---|---|---|---|---|---|---|---|---|
| Cynthia Marcella Bremer | 1326836 | 1 | 03/29/2021 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Ryan Thomas Fleming | 4378425 | 3 | 03/04/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard Joseph Davis | 2392995 | 1 | 02/17/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gloria Evelyn Niemier | 2641064 | 1 | 02/12/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Audrey Starr Flamio | 3031183 | 3 | 02/04/2021 | Customer Dispute | Denied | $38,000.00 | $0.00 | See FINRA Report |
| Erik Sylvan Sherman | 4544582 | 2 | 02/03/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Timothy Harold Judson | 709195 | 3 | 01/26/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Eric Lee Johnson | 2721115 | 1 | 01/12/2021 | Customer Dispute | Award / Judgment | $54,568.00 | $0.00 | See FINRA Report |
| Paz Maria Chandra | 2405701 | 2 | 12/31/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Les Leroy Barber | 1256348 | 5 | 12/30/2020 | Customer Dispute | Denied | $237,000.00 | $0.00 | See FINRA Report |