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 |
|---|---|---|---|---|---|---|---|---|
| David Lee Schamerhorn | 1527701 | 1 | 01/16/2002 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Peter Michael Maris | 2177794 | 3 | 01/15/2002 | Customer Dispute | Denied | $11,690.40 | $0.00 | See FINRA Report |
| James Michael Friery | 1091472 | 1 | 01/10/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Brandon Scott Katz | 5742209 | 1 | 01/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel Lee Collins | 3268897 | 2 | 01/04/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Cesar Hugo Lopez | 2265364 | 7 | 01/02/2002 | Customer Dispute | Settled | $50,400.00 | $0.00 | See FINRA Report |
| Rudi Richard Hoffman | 1172103 | 2 | 12/26/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Thomas Turowski | 2895520 | 4 | 12/24/2001 | Customer Dispute | Denied | $7,300.00 | $0.00 | See FINRA Report |
| Michael Glen Hill | 3026108 | 6 | 12/16/2001 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Nicky Alva Witte | 2038970 | 3 | 12/14/2001 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |