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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Ralph Hokr | 1194034 | 2 | 01/31/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Bruce Lerner | 500447 | 2 | 01/04/1994 | Customer Dispute | Settled | $15,739.00 | $0.00 | See FINRA Report |
| Stephan Quinn Cassaday | 849097 | 1 | 12/02/1993 | Customer Dispute | Settled | $555,669.00 | $0.00 | See FINRA Report |
| George Frank Cerwin | 1008485 | 4 | 12/01/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Curtis Ray Levalley | 1351160 | 2 | 11/18/1993 | Customer Dispute | Award / Judgment | $150,000.00 | $155,000.00 | See FINRA Report |
| Charles Wilkes Smith | 427158 | 9 | 10/23/1993 | Customer Dispute | Settled | $18,915.00 | $0.00 | See FINRA Report |
| Charles Wilkes Smith | 427158 | 9 | 10/23/1993 | Customer Dispute | Settled | $35,402.00 | $0.00 | See FINRA Report |
| Richard Paul Martin | 1021864 | 5 | 10/21/1993 | Customer Dispute | Settled | $7,543.00 | $0.00 | See FINRA Report |
| Carl Anthony Moore | 1212274 | 3 | 10/21/1993 | Customer Dispute | Settled | $44,184.00 | $0.00 | See FINRA Report |
| Kenneth Edward Guard | 1055460 | 4 | 10/21/1993 | Customer Dispute | Settled | $7,004.00 | $0.00 | See FINRA Report |