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 |
|---|---|---|---|---|---|---|---|---|
| Donna A Sheehy | 1122064 | 1 | 03/25/1994 | Customer Dispute | Award / Judgment | $1,863,140.00 | $11,471.60 | See FINRA Report |
| Curtis Ray Levalley | 1351160 | 2 | 11/18/1993 | Customer Dispute | Award / Judgment | $150,000.00 | $155,000.00 | See FINRA Report |
| John Harvey Heil | 1699760 | 5 | 10/15/1993 | Customer Dispute | Award / Judgment | $400,000.00 | $300,000.00 | See FINRA Report |
| Alan Duane Douglass | 1619835 | 7 | 03/15/1993 | Customer Dispute | Award / Judgment | $5,023.25 | $3,000.00 | See FINRA Report |
| Robert David Rivoli | 1830391 | 2 | 09/15/1992 | Customer Dispute | Award / Judgment | $6,260.00 | $5,150.00 | See FINRA Report |
| Roger Antony Sexter | 859088 | 2 | 04/02/1992 | Customer Dispute | Award / Judgment | $75,000.00 | $45,500.00 | See FINRA Report |
| Julius Frederick Brauner | 706699 | 1 | 11/18/1991 | Customer Dispute | Award / Judgment | $80,000.00 | $42,811.00 | See FINRA Report |
| Robert Louis Oates | 1875939 | 3 | 09/19/1991 | Customer Dispute | Award / Judgment | $56,000.00 | $54,950.00 | See FINRA Report |
| Kent Warren Miller | 805030 | 3 | 07/02/1991 | Customer Dispute | Award / Judgment | $150,000.00 | $127,321.00 | See FINRA Report |
| David Bruce Utter | 600105 | 5 | 01/17/1991 | Customer Dispute | Award / Judgment | $2,500,000.00 | $1,496,920.00 | See FINRA Report |