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 |
|---|---|---|---|---|---|---|---|---|
| Ross Alan Lyle | 712715 | 3 | 11/08/2006 | Customer Dispute | Denied | $11,298.60 | $0.00 | See FINRA Report |
| J. Michael Seymour | 2480641 | 8 | 11/06/2006 | Customer Dispute | Settled | $223,239.00 | $0.00 | See FINRA Report |
| Nick James Valenti | 1012884 | 1 | 11/05/2006 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Ross Alan Lyle | 712715 | 3 | 11/03/2006 | Customer Dispute | Denied | $10,564.70 | $0.00 | See FINRA Report |
| John Martin Kosmicki | 2093885 | 3 | 11/02/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew David Potts | 366458 | 1 | 11/01/2006 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Robert Wayne Tyler | 2681663 | 1 | 10/27/2006 | Customer Dispute | Denied | $100,999.00 | $0.00 | See FINRA Report |
| Giovanni Migliaccio | 2710482 | 1 | 10/20/2006 | Customer Dispute | Settled | $93,982.00 | $0.00 | See FINRA Report |
| Ryan Jack Lemke | 7508137 | 1 | 10/19/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerrit Latchford | 6726562 | 1 | 10/10/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |