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 |
|---|---|---|---|---|---|---|---|---|
| Douglas William Gallwas | 1862864 | 2 | 11/04/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Royce Todd Ruth | 2790825 | 3 | 10/31/2002 | Customer Dispute | Closed-No Action | $5,797.24 | $0.00 | See FINRA Report |
| Dennis Joseph Demuth | 2801623 | 1 | 10/05/2002 | Customer Dispute | Closed-No Action | $662,000.00 | $0.00 | See FINRA Report |
| Anthony William Simor | 2663398 | 1 | 09/27/2002 | Customer Dispute | Closed-No Action | $80,000.00 | $0.00 | See FINRA Report |
| Nicky Alva Witte | 2038970 | 3 | 09/25/2002 | Customer Dispute | Closed-No Action | $17,000.00 | $0.00 | See FINRA Report |
| Christopher Todd Benoit | 1583587 | 3 | 09/10/2002 | Customer Dispute | Closed-No Action | $9,000.00 | $0.00 | See FINRA Report |
| Thomas Davidson Rorschach | 1780356 | 1 | 08/02/2002 | Customer Dispute | Closed-No Action | $95,000.00 | $0.00 | See FINRA Report |
| Thomas Randolph Hurt | 2157401 | 1 | 06/18/2002 | Customer Dispute | Closed-No Action | $21,847.00 | $0.00 | See FINRA Report |
| Joseph Charles Roubik | 2443120 | 4 | 06/14/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Mark Allen Davis | 2103015 | 1 | 05/30/2002 | Customer Dispute | Closed-No Action | $511.85 | $0.00 | See FINRA Report |