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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Patrick Lehman | 2019289 | 3 | 06/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Thomas Fleming | 4378425 | 3 | 06/23/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Mark Joseph Vamvaketis | 2444211 | 2 | 06/21/2022 | Customer Dispute | Denied | $42,647.90 | $0.00 | See FINRA Report |
| Edith Lynn McCormick | 2697158 | 1 | 06/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Kendall Liska | 2512188 | 4 | 05/11/2022 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| David John Stuckey | 1372887 | 3 | 05/04/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Nicholas Charles Donato | 4710998 | 1 | 04/28/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Fockler | 6322542 | 1 | 04/01/2022 | Customer Dispute | Award / Judgment | $5,000.00 | $10,000.00 | See FINRA Report |
| Thomas Povinelli | 1326492 | 4 | 03/18/2022 | Customer Dispute | Pending | $275,000.00 | $0.00 | See FINRA Report |
| Jerry Dale Brierly | 816813 | 1 | 03/07/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |