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 |
|---|---|---|---|---|---|---|---|---|
| David Bruce Utter | 600105 | 5 | 04/02/1991 | Customer Dispute | Settled | $58,850.00 | $0.00 | See FINRA Report |
| David Bruce Utter | 600105 | 5 | 01/17/1991 | Customer Dispute | Award / Judgment | $2,500,000.00 | $1,496,920.00 | See FINRA Report |
| Timothy Harold Judson | 709195 | 4 | 01/15/1991 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Paul Frederic Arutt | 1335916 | 3 | 11/28/1990 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kent Edward Bowman | 1244354 | 8 | 11/01/1990 | Customer Dispute | Award / Judgment | $125,000.00 | $36,837.50 | See FINRA Report |
| Harender Singh Arora | 1269664 | 4 | 06/01/1990 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Robert Steven Gold | 1384170 | 3 | 05/19/1990 | Customer Dispute | Award / Judgment | $6,000.00 | $1,789.00 | See FINRA Report |
| John Sidney Roberts | 1084544 | 1 | 05/01/1990 | Customer Dispute | Award / Judgment | $25,637.10 | $146,518.00 | See FINRA Report |
| John Matthew Rhoades | 1299513 | 3 | 03/20/1990 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Thomas George Lenze | 306717 | 6 | 03/15/1990 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |