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 |
|---|---|---|---|---|---|---|---|---|
| Joseline B Clua | 4116165 | 2 | 03/20/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Marc Gregory Minor | 2230271 | 5 | 03/18/2024 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Jason Douglas Smith | 6151353 | 1 | 03/18/2024 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Eric Charles Marshall | 4767380 | 2 | 03/18/2024 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Louis Martin Wargo | 1416101 | 6 | 03/07/2024 | Customer Dispute | Pending | $137,000.00 | $0.00 | See FINRA Report |
| Thomas Ian Rindahl | 3200702 | 1 | 02/28/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Daniel McDermott | 2483480 | 2 | 02/16/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Barbaccia | 2905623 | 3 | 01/23/2024 | Customer Dispute | Pending | $44,000.00 | $0.00 | See FINRA Report |
| John Michael Matteoni | 4177784 | 1 | 01/11/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Jonna Doris Keller | 1983864 | 2 | 01/08/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |