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 Forrest Cavin | 733535 | 1 | 03/15/1990 | Customer Dispute | Settled | $122,000.00 | $0.00 | See FINRA Report |
| Kerry Elton Bolen | 733408 | 4 | 02/01/1990 | Customer Dispute | Settled | $68,700.00 | $0.00 | See FINRA Report |
| John William Kelly | 1025196 | 2 | 08/31/1989 | Customer Dispute | Settled | $47,500.00 | $0.00 | See FINRA Report |
| William Monfils Upson | 1241673 | 2 | 04/27/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert John Patrick | 857327 | 2 | 10/20/1988 | Customer Dispute | Settled | $136,000.00 | $0.00 | See FINRA Report |
| Charles Wilkes Smith | 427158 | 9 | 10/18/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harender Singh Arora | 1269664 | 4 | 05/18/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Paul Gregory | 1426285 | 2 | 04/27/1988 | Customer Dispute | Settled | $114,000.00 | $0.00 | See FINRA Report |
| Jeffrey Joseph Arburn | 1475817 | 2 | 02/16/1988 | Customer Dispute | Award / Judgment | $28,000.00 | $15,591.30 | See FINRA Report |
| John Matthew Rhoades | 1299513 | 3 | 08/13/1987 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |