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 |
|---|---|---|---|---|---|---|---|---|
| Colin Peter Figueroa | 5882321 | 1 | 05/10/2022 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| David John Stuckey | 1372887 | 2 | 05/04/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Esposito | 3164724 | 1 | 05/02/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Frank Edward Depaola | 1253587 | 4 | 05/02/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Stephan Scheithe | 1356047 | 1 | 04/04/2022 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| George Robert Veater | 1482361 | 7 | 04/04/2022 | Customer Dispute | Denied | $137,000.00 | $0.00 | See FINRA Report |
| Thomas P Kroehle | 4388363 | 2 | 02/06/2022 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 02/02/2022 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Ralph Siegfried Waller | 3196853 | 2 | 01/23/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason Adam Harris | 3105227 | 1 | 01/13/2022 | Customer Dispute | Denied | $20,288.00 | $0.00 | See FINRA Report |