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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Paul Gillespie | 1769990 | 3 | 06/23/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Steven Donald Koch | 5369256 | 2 | 06/03/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| 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 |
| 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 |
| Michael Paul Austin | 1466274 | 1 | 03/10/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Scott Richard Werdebaugh | 2499345 | 1 | 02/11/2020 | Customer Dispute | Denied | $24,456.00 | $0.00 | See FINRA Report |
| Donald Alde Joyal | 2397903 | 3 | 01/15/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Anna Naomi Hartwell | 6063419 | 1 | 01/02/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |