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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Michael Liptak | 1161575 | 1 | 05/16/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel John Murphy | 722183 | 1 | 05/10/1994 | Customer Dispute | Settled | $235,000.00 | $0.00 | See FINRA Report |
| Christopher Mark Peerless | 710630 | 1 | 05/03/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frederick Allen Mecklenburg | 726227 | 4 | 04/25/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Scott Fife | 2515801 | 1 | 04/21/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Anthony Molinaro | 1037567 | 3 | 04/18/1994 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Brian Dale Coughlin | 1525298 | 1 | 04/16/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Charles Dault | 868547 | 1 | 04/08/1994 | Customer Dispute | Award / Judgment | $34,477.00 | $14,000.00 | See FINRA Report |
| Donna A Sheehy | 1122064 | 1 | 03/25/1994 | Customer Dispute | Award / Judgment | $1,863,140.00 | $11,471.60 | See FINRA Report |
| Christine Ann Hatch | 1170185 | 2 | 03/12/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |