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 |
|---|---|---|---|---|---|---|---|---|
| David Kenneth Thiele | 6102260 | 3 | 10/24/2023 | Customer Dispute | Pending | $325,000.00 | $0.00 | See FINRA Report |
| John Joseph Aguilera | 2066720 | 1 | 10/23/2023 | Customer Dispute | Denied | $240,000.00 | $0.00 | See FINRA Report |
| Pete Chris Stamatis | 1914933 | 1 | 10/23/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Chad Eric Kennedy | 2845177 | 1 | 10/19/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Robert W Cowin | 4613859 | 1 | 10/17/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lisa M Jacques | 5440240 | 1 | 10/16/2023 | Customer Dispute | Denied | $75,936.90 | $0.00 | See FINRA Report |
| David Kenneth Thiele | 6102260 | 3 | 10/12/2023 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Jason R Nazzaro | 1916030 | 4 | 10/03/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Marty Valade | 1532673 | 1 | 09/13/2023 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Timothy Harold Judson | 709195 | 4 | 07/21/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |