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 |
|---|---|---|---|---|---|---|---|---|
| Neal Allen Rouch | 1569123 | 1 | 09/02/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Steven Batie | 2575173 | 2 | 08/01/2008 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Kevin Thorson | 2450094 | 2 | 07/21/2008 | Customer Dispute | Closed-No Action | $14,576.20 | $0.00 | See FINRA Report |
| Julie Cassiani | 2957838 | 1 | 07/21/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael John Murphy | 5294021 | 1 | 06/19/2008 | Customer Dispute | Closed-No Action | $21,256.10 | $0.00 | See FINRA Report |
| Lee Christian Bashforth | 2602432 | 5 | 06/18/2008 | Customer Dispute | Closed-No Action | $400,000.00 | $0.00 | See FINRA Report |
| Jonathan Todd Pace | 1729537 | 2 | 05/27/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Lewis Sommers | 3031683 | 1 | 04/21/2008 | Customer Dispute | Closed-No Action | $9,792.00 | $0.00 | See FINRA Report |
| Gerhard Frederick Heuer | 1868447 | 6 | 04/17/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| William Monfils Upson | 1241673 | 2 | 02/28/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |