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 Floyd Binn | 21697 | 2 | 10/19/2008 | Customer Dispute | Closed-No Action | $14,935.20 | $0.00 | See FINRA Report |
| Michael Johnathan Smith | 2297853 | 1 | 10/17/2008 | Customer Dispute | Denied | $7,947.89 | $0.00 | See FINRA Report |
| David B Smith | 4253507 | 1 | 10/17/2008 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| David Paul Launder | 2239910 | 1 | 10/16/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven B Sanders | 1852994 | 14 | 10/15/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arnold Samuel | 4278592 | 3 | 10/14/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Erik Christopher Lure | 3018010 | 2 | 10/13/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Andrew Kovacs | 1966897 | 1 | 10/13/2008 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| James Martin Thomas | 3080801 | 1 | 10/13/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Casey Patrick O'Gorman | 1983923 | 2 | 10/09/2008 | Customer Dispute | Settled | $8,237.32 | $0.00 | See FINRA Report |