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 |
|---|---|---|---|---|---|---|---|---|
| Mark Thomas Drouillard | 1657380 | 1 | 05/12/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Charles Roubik | 2443120 | 4 | 04/12/2010 | Customer Dispute | Closed-No Action | $435,000.00 | $0.00 | See FINRA Report |
| Craig Smith Senn | 866245 | 5 | 03/31/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffery Michael Darwish | 3228029 | 8 | 03/30/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Lawrence Weintraub | 462090 | 2 | 01/12/2010 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Shayne Dean Kuebler | 3255878 | 4 | 01/07/2010 | Customer Dispute | Closed-No Action | $164,000.00 | $0.00 | See FINRA Report |
| Gwen B Garrison | 2956878 | 1 | 01/07/2010 | Customer Dispute | Closed-No Action | $43,750.00 | $0.00 | See FINRA Report |
| Tracey Marie Simonson | 1849487 | 1 | 11/23/2009 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Eric J Gaisford | 4950951 | 1 | 11/19/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeremy Landon Keating | 4591177 | 1 | 09/18/2009 | Customer Dispute | Closed-No Action | $13,640.00 | $0.00 | See FINRA Report |