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 James Vassallo | 2233012 | 1 | 01/12/2009 | Customer Dispute | Settled | $13,015.90 | $0.00 | See FINRA Report |
| Rosemary Katherine Bertram | 2625069 | 1 | 01/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Andrew Bond | 1576394 | 2 | 01/08/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pamela James Ostrander | 2965759 | 3 | 01/08/2009 | Customer Dispute | Denied | $7,780.56 | $0.00 | See FINRA Report |
| Ryan Charles Hamilton | 5060024 | 1 | 01/07/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Phillip Diehl | 1525156 | 3 | 12/30/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brett Thomas Straub | 2118331 | 2 | 12/24/2008 | Customer Dispute | Denied | $9,270.00 | $3,291.16 | See FINRA Report |
| Michael Patrick Cross | 3025772 | 3 | 12/23/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Camferdam | 1402345 | 28 | 12/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Smith Senn | 866245 | 5 | 12/19/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |