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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Joseph Bartlett | 2783720 | 1 | 01/07/2022 | Customer Dispute | Denied | $7,228.25 | $0.00 | See FINRA Report |
| James Patrick Flaherty | 1445547 | 1 | 01/06/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Glenn Griffin | 3185169 | 2 | 11/19/2021 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Christopher Michael Collins | 1670675 | 3 | 10/11/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Chana Kay Beene | 1689899 | 1 | 09/08/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Paul Joseph Fitzpatrick | 4284819 | 1 | 08/31/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dennis Fred Baker | 2180472 | 2 | 08/18/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Donald James McAbier | 2045461 | 1 | 07/27/2021 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Craig William Surprise | 4321571 | 3 | 07/26/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Samuel Hurst Hoppe | 5248575 | 1 | 06/30/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |