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 |
|---|---|---|---|---|---|---|---|---|
| John Christopher Nori | 2505172 | 2 | 08/25/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Bernard Owens | 1212382 | 1 | 08/21/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Camferdam | 1402345 | 28 | 08/20/2009 | Customer Dispute | Settled | $175,556.00 | $0.00 | See FINRA Report |
| Lee Christian Bashforth | 2602432 | 5 | 08/18/2009 | Customer Dispute | Settled | $774,837.00 | $0.00 | See FINRA Report |
| Michael Edward Camferdam | 1402345 | 28 | 08/18/2009 | Customer Dispute | Settled | $28,000.00 | $0.00 | See FINRA Report |
| Frederick Harry Yankee | 1217333 | 2 | 08/17/2009 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Robert Lane Bagby | 2843531 | 2 | 08/14/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Vincent Gillespie | 4738688 | 1 | 08/14/2009 | Customer Dispute | Settled | $57,123.10 | $0.00 | See FINRA Report |
| Milton Dennis Flanagan | 4218649 | 3 | 08/13/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John P Connors | 2631810 | 1 | 08/12/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |