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 |
|---|---|---|---|---|---|---|---|---|
| Ran Regev | 5469190 | 3 | 08/05/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Stephen Wayne Mattocks | 2193216 | 3 | 08/03/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ryan Matthew Bassett | 4261974 | 1 | 07/30/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| James Russell Lingerfelt | 6873696 | 1 | 07/11/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Donna Sudyn | 1777480 | 4 | 07/08/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Tinh Trong Vu | 6316398 | 1 | 07/05/2024 | Customer Dispute | Pending | $176,200.00 | $0.00 | See FINRA Report |
| Alan Duane Douglass | 1619835 | 7 | 07/03/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Donald Evan Peabody | 2175218 | 4 | 07/02/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Lee Evan Southren | 2289660 | 1 | 06/25/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Peter John Succoso | 1798811 | 1 | 06/21/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |