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 |
|---|---|---|---|---|---|---|---|---|
| Roger Antony Sexter | 859088 | 2 | 04/02/1992 | Customer Dispute | Award / Judgment | $75,000.00 | $45,500.00 | See FINRA Report |
| James Rodney Keith Hardy | 703068 | 1 | 03/30/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Julius Frederick Brauner | 706699 | 1 | 11/18/1991 | Customer Dispute | Award / Judgment | $80,000.00 | $42,811.00 | See FINRA Report |
| Gary James Najarian | 1693119 | 2 | 11/01/1991 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Robert Louis Oates | 1875939 | 3 | 09/19/1991 | Customer Dispute | Award / Judgment | $56,000.00 | $54,950.00 | See FINRA Report |
| Dean Gregory Ringdahl | 1080956 | 2 | 09/17/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kent Warren Miller | 805030 | 3 | 07/02/1991 | Customer Dispute | Award / Judgment | $150,000.00 | $127,321.00 | See FINRA Report |
| Anthony Allan Rossi | 405339 | 1 | 05/01/1991 | Customer Dispute | Settled | $335,000.00 | $0.00 | See FINRA Report |
| Paul James Pittman | 2570402 | 7 | 04/03/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul James Pittman | 2570402 | 7 | 04/03/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |