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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Albert Slater | 1547792 | 7 | 07/28/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Herbert C White | 3125223 | 7 | 01/13/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Herbert C White | 3125223 | 7 | 01/13/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Swarbrick | 2444058 | 4 | 01/13/2017 | Customer Dispute | Closed-No Action | $400,000.00 | $0.00 | See FINRA Report |
| Marc Gregory Minor | 2230271 | 5 | 12/23/2016 | Customer Dispute | Closed-No Action | $62,000.00 | $0.00 | See FINRA Report |
| Nick M Knapp | 4510864 | 1 | 12/23/2016 | Customer Dispute | Closed-No Action | $62,000.00 | $0.00 | See FINRA Report |
| Daniel Richard Michelon | 4386680 | 1 | 11/30/2016 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Edward Carlsen | 2044938 | 1 | 09/06/2016 | Customer Dispute | Closed-No Action | $55,189.60 | $0.00 | See FINRA Report |
| Christopher William Hasircoglu | 2052507 | 3 | 08/17/2016 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Thomas P Kroehle | 4388363 | 2 | 01/29/2016 | Customer Dispute | Closed-No Action | $232,042.00 | $0.00 | See FINRA Report |