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 |
|---|---|---|---|---|---|---|---|---|
| Gus Leno Andrews | 2362417 | 5 | 11/05/2003 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Brian Jay Tollin | 2661259 | 4 | 10/14/2003 | Customer Dispute | Closed-No Action | $65,100.00 | $0.00 | See FINRA Report |
| Thomas Patrick Kerins | 2381084 | 1 | 07/25/2003 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Susan Thornburg Grant | 1229705 | 1 | 06/23/2003 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Bobby Ray Payne | 1795408 | 6 | 02/28/2003 | Customer Dispute | Closed-No Action | $234,000.00 | $0.00 | See FINRA Report |
| Anna Marie Turco | 2602567 | 1 | 02/25/2003 | Customer Dispute | Closed-No Action | $43,674.00 | $0.00 | See FINRA Report |
| Jeffrey Glenn Moormeier | 1846287 | 3 | 02/18/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Caltabilota | 2748832 | 3 | 01/16/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Randal Scott Poirier | 3030356 | 1 | 12/30/2002 | Customer Dispute | Closed-No Action | $9,314.00 | $0.00 | See FINRA Report |
| Frank Ralph Lavin | 1645638 | 1 | 12/23/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |