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 |
|---|---|---|---|---|---|---|---|---|
| Spencer Lund Weston | 1482772 | 3 | 06/30/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Swarbrick | 2444058 | 4 | 06/30/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Andre C Selfa | 6060137 | 1 | 06/01/2021 | Customer Dispute | Denied | $36,850.00 | $0.00 | See FINRA Report |
| Conrad Earl Pearson | 1068155 | 3 | 05/19/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ferdinand P Garcia | 2066744 | 1 | 05/10/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason James Peplinski | 4234120 | 4 | 04/29/2021 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Jason James Peplinski | 4234120 | 4 | 04/22/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason James Peplinski | 4234120 | 4 | 04/22/2021 | Customer Dispute | Denied | $56,400.00 | $0.00 | See FINRA Report |
| Jason James Peplinski | 4234120 | 4 | 04/22/2021 | Customer Dispute | Denied | $64,960.00 | $0.00 | See FINRA Report |
| Lisa Ann Hehir | 735262 | 1 | 03/11/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |