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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Patrick Fitzgerald | 1754938 | 3 | 05/11/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Cason | 2455720 | 10 | 03/25/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Eric Christopher Dubroc | 1899317 | 3 | 02/28/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bruce Wayne Swayze | 1236860 | 1 | 02/11/2011 | Customer Dispute | Closed-No Action | $6,053.00 | $0.00 | See FINRA Report |
| Kristopher Thomas Olexy | 4737377 | 2 | 11/11/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Leslie Frazier | 1521675 | 1 | 08/12/2010 | Customer Dispute | Closed-No Action | $113,328.00 | $0.00 | See FINRA Report |
| Michael Steven Connery | 1528003 | 1 | 08/10/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Todd Wegener | 1592102 | 2 | 08/06/2010 | Customer Dispute | Closed-No Action | $70,098.40 | $0.00 | See FINRA Report |
| Oded Cohen | 4521584 | 3 | 07/07/2010 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Shayne Dean Kuebler | 3255878 | 4 | 06/23/2010 | Customer Dispute | Closed-No Action | $328,107.00 | $0.00 | See FINRA Report |