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 |
|---|---|---|---|---|---|---|---|---|
| Jason Scott Williams | 3087614 | 2 | 12/17/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Timothy Charles Parros | 2315223 | 1 | 11/08/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Salvatore Stephen Aprile | 2197270 | 1 | 10/03/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Adam David Kaplan | 2485910 | 3 | 09/13/2019 | Customer Dispute | Denied | $69,275.00 | $0.00 | See FINRA Report |
| Kent Edward Bowman | 1244354 | 8 | 08/28/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kent Edward Bowman | 1244354 | 8 | 08/28/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Keith Gregg Ellen | 1918119 | 7 | 08/26/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lois Anne Davies | 1738537 | 1 | 08/13/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Timothy Mangus | 5533821 | 1 | 07/01/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Arthur Hicks | 733045 | 3 | 06/28/2019 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |