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 |
|---|---|---|---|---|---|---|---|---|
| Keith Sterling Mitchell | 1175704 | 3 | 04/07/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Eugene Baxter | 828637 | 2 | 03/18/1993 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Alan Duane Douglass | 1619835 | 7 | 03/15/1993 | Customer Dispute | Award / Judgment | $5,023.25 | $3,000.00 | See FINRA Report |
| Gary Allyn Sult | 1488583 | 1 | 02/09/1993 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| John Matthew Rhoades | 1299513 | 3 | 11/03/1992 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Christine Ann Hatch | 1170185 | 2 | 10/30/1992 | Customer Dispute | Settled | $148,000.00 | $0.00 | See FINRA Report |
| Robert David Rivoli | 1830391 | 2 | 09/15/1992 | Customer Dispute | Award / Judgment | $6,260.00 | $5,150.00 | See FINRA Report |
| Dean Gregory Ringdahl | 1080956 | 2 | 08/21/1992 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| John Albert House | 1238482 | 1 | 08/19/1992 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Charles Wilkes Smith | 427158 | 9 | 04/03/1992 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |