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 |
|---|---|---|---|---|---|---|---|---|
| Robert James Ferrari | 2269841 | 1 | 01/29/2009 | Customer Dispute | Withdrawn | $47,000.80 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 01/29/2009 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 01/29/2009 | Customer Dispute | Settled | $14,159.20 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 01/26/2009 | Customer Dispute | Settled | $9,875.00 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 01/26/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Christopher Liebelt | 1164152 | 3 | 01/21/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenward Lavon Stone | 1198779 | 21 | 01/20/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brandon Keith Cass | 4927371 | 1 | 01/17/2009 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Richard Anthony Alter | 2027054 | 4 | 01/12/2009 | Customer Dispute | Denied | $73,000.00 | $0.00 | See FINRA Report |
| Kevin M McCarthy | 4037135 | 1 | 01/12/2009 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |