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 |
|---|---|---|---|---|---|---|---|---|
| Robert David Rivoli | 1830391 | 2 | 09/15/1992 | Customer Dispute | Award / Judgment | $6,260.00 | $5,150.00 | See FINRA Report |
| Gary James Najarian | 1693119 | 1 | 11/01/1991 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Timothy Harold Judson | 709195 | 3 | 01/15/1991 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Kent Edward Bowman | 1244354 | 7 | 11/01/1990 | Customer Dispute | Award / Judgment | $125,000.00 | $36,837.50 | See FINRA Report |
| Gregory Bruce McLean | 722787 | 2 | 09/21/1990 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| John Francis Newsholme | 1182756 | 5 | 02/28/1990 | Customer Dispute | Settled | $600,000.00 | $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 |
| Anthony Paul Gregory | 1426285 | 2 | 04/27/1988 | Customer Dispute | Settled | $114,000.00 | $0.00 | See FINRA Report |
| Kent Cochran Cummings | 1020306 | 3 | 11/16/1987 | Customer Dispute | Settled | $62,757.10 | $0.00 | See FINRA Report |