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 |
|---|---|---|---|---|---|---|---|---|
| Randall Leigh Raymond | 1041994 | 2 | 05/22/2019 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Kip Ronald Schmidt | 5947055 | 1 | 05/09/2019 | Customer Dispute | Denied | $11,024.00 | $0.00 | See FINRA Report |
| Timothy Arthur Mellon | 2442621 | 1 | 05/08/2019 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Joshua Jon Beitel | 5911459 | 2 | 04/16/2019 | Customer Dispute | Denied | $41,338.90 | $0.00 | See FINRA Report |
| Craig Allen Leppien | 4394900 | 2 | 04/16/2019 | Customer Dispute | Denied | $41,338.90 | $0.00 | See FINRA Report |
| Nathan Loren Enzian | 6297059 | 1 | 04/10/2019 | Customer Dispute | Denied | $49,925.60 | $0.00 | See FINRA Report |
| Daniel John Dunn | 3105100 | 6 | 03/29/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Herbert C White | 3125223 | 7 | 03/18/2019 | Customer Dispute | Denied | $82,000.00 | $0.00 | See FINRA Report |
| Jeffrey Paul McNaney | 4640776 | 1 | 02/20/2019 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Michael Aschberger | 2827129 | 1 | 02/08/2019 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |