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 |
|---|---|---|---|---|---|---|---|---|
| John Francis Newsholme | 1182756 | 5 | 03/01/2022 | Customer Dispute | Closed-No Action | $11,953.20 | $0.00 | See FINRA Report |
| Thomas Joseph Bartlett | 2783720 | 1 | 01/07/2022 | Customer Dispute | Denied | $7,228.25 | $0.00 | See FINRA Report |
| James Patrick Flaherty | 1445547 | 1 | 01/06/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Robert Bregen | 2380377 | 1 | 01/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ernest Fred Collyer | 2675778 | 1 | 12/31/2021 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Hayley A Wood | 5695777 | 1 | 12/22/2021 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Gary Kendall Liska | 2512188 | 4 | 12/20/2021 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Thomas Andrew Musumeci | 2580325 | 1 | 12/07/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Gregory Meacham | 1045678 | 2 | 11/04/2021 | Customer Dispute | Settled | $137,000.00 | $0.00 | See FINRA Report |
| James Gordon Tegtmeier-Hedinger | 4042452 | 2 | 10/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |