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 |
|---|---|---|---|---|---|---|---|---|
| Karen Irene Boykin | 4501606 | 3 | 01/05/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Spencer Lund Weston | 1482772 | 3 | 09/26/2016 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Stephen Swarbrick | 2444058 | 4 | 09/26/2016 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| William Bradley Smith | 2853427 | 1 | 03/05/2015 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert Steven Gold | 1384170 | 3 | 03/20/2014 | Customer Dispute | Withdrawn | $85,000.00 | $0.00 | See FINRA Report |
| John Harvey Heil | 1699760 | 5 | 04/04/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Eric Young Sin | 1918393 | 1 | 11/07/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Philip Joseph Deangelo | 4204841 | 5 | 08/04/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Terry Craig Sandvold | 1571926 | 17 | 05/17/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Michael Richard Passante | 5396964 | 1 | 10/19/2011 | Customer Dispute | Withdrawn | $170,000.00 | $0.00 | See FINRA Report |