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 |
|---|---|---|---|---|---|---|---|---|
| Herbert C White | 3125223 | 7 | 12/20/2023 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Patrick Tantoco | 5249850 | 2 | 12/20/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Frank Stewart Chan | 2549010 | 1 | 12/18/2023 | Customer Dispute | Settled | $1,521,710.00 | $0.00 | See FINRA Report |
| Tasha Marie Coleman | 4508534 | 1 | 11/29/2023 | Customer Dispute | Settled | $7,914.00 | $0.00 | See FINRA Report |
| Robert E Mefford | 4933995 | 1 | 11/28/2023 | Customer Dispute | Pending | $20,000.00 | $0.00 | See FINRA Report |
| Louis Martin Wargo | 1416101 | 6 | 11/28/2023 | Customer Dispute | Pending | $40,000.00 | $0.00 | See FINRA Report |
| Randy Carter Cox | 2544998 | 2 | 11/28/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Walter Carl Meyers | 4207941 | 1 | 11/21/2023 | Customer Dispute | Pending | $68,000.00 | $0.00 | See FINRA Report |
| Anil Gulati | 1137733 | 1 | 11/21/2023 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| David Wayne Lefever | 4482950 | 1 | 11/21/2023 | Customer Dispute | Pending | $40,000.00 | $0.00 | See FINRA Report |