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 |
|---|---|---|---|---|---|---|---|---|
| Ricky Ben Brickner | 1039485 | 1 | 05/18/2004 | Customer Dispute | Denied | $6,188.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 05/09/2004 | Customer Dispute | Denied | $11,102.30 | $0.00 | See FINRA Report |
| Wei Luo | 4293670 | 2 | 05/07/2004 | Customer Dispute | Denied | $14,338.60 | $0.00 | See FINRA Report |
| Michael Marlowe | 2246020 | 2 | 05/07/2004 | Customer Dispute | Settled | $444,868.00 | $0.00 | See FINRA Report |
| Gary Fecarotta | 4074226 | 4 | 05/06/2004 | Customer Dispute | Pending | $153,000.00 | $0.00 | See FINRA Report |
| Steven John Sell | 2069383 | 5 | 05/03/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Edwin Joseph Klein | 1055513 | 2 | 05/03/2004 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Gary Neil Krikorian | 1898737 | 4 | 04/26/2004 | Customer Dispute | Denied | $61,000.00 | $0.00 | See FINRA Report |
| David Lee Mire | 1144000 | 1 | 04/23/2004 | Customer Dispute | Denied | $12,880.00 | $0.00 | See FINRA Report |
| Walter Lee Brown | 2795660 | 1 | 04/21/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |