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 |
|---|---|---|---|---|---|---|---|---|
| Donald Ray Svoboda | 862544 | 1 | 11/28/2008 | Customer Dispute | Settled | $48,694.40 | $0.00 | See FINRA Report |
| Angela Marie Caballero | 3250287 | 1 | 11/26/2008 | Customer Dispute | Settled | $19,121.30 | $0.00 | See FINRA Report |
| Michael Glenn Griffin | 3185169 | 2 | 11/24/2008 | Customer Dispute | Settled | $208,000.00 | $0.00 | See FINRA Report |
| James David Curtis | 1297649 | 1 | 11/24/2008 | Customer Dispute | Settled | $11,304.20 | $0.00 | See FINRA Report |
| Oded Cohen | 4521584 | 3 | 11/21/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katharine Auchincloss Corbin | 710131 | 3 | 11/21/2008 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| John Carmine Caviglia | 2179511 | 1 | 11/19/2008 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Cynthia Nowicki Moore | 2463528 | 1 | 11/19/2008 | Customer Dispute | Closed-No Action | $5,800.00 | $0.00 | See FINRA Report |
| Jeffrey Rayner Mase | 4324790 | 2 | 11/19/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Gerard Walsh | 2352646 | 2 | 11/18/2008 | Customer Dispute | Settled | $31,269.20 | $0.00 | See FINRA Report |