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 |
|---|---|---|---|---|---|---|---|---|
| Serafino Frank Maiorano | 1963149 | 1 | 10/06/2006 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| Kent Edward Bowman | 1244354 | 8 | 10/03/2006 | Customer Dispute | Denied | $33,957.00 | $0.00 | See FINRA Report |
| Terrence Lee Porro | 1257793 | 1 | 09/29/2006 | Customer Dispute | Denied | $12,427.80 | $0.00 | See FINRA Report |
| Michael Allen Frontino | 1176514 | 2 | 09/26/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Irwin Rice | 844953 | 1 | 09/25/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin John Bateman | 2588017 | 2 | 09/21/2006 | Customer Dispute | Settled | $7,200.00 | $0.00 | See FINRA Report |
| Thomas Arthur Payant | 845353 | 5 | 09/20/2006 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Kevin Thorson | 2450094 | 2 | 09/14/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Samuel Licary | 2260106 | 3 | 09/14/2006 | Customer Dispute | Closed-No Action | $26,842.80 | $0.00 | See FINRA Report |
| Todd Michael Haufler | 2579697 | 2 | 09/14/2006 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |