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 |
|---|---|---|---|---|---|---|---|---|
| Keith Brian Mooney | 2562218 | 6 | 08/07/2008 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Benjamin Robert Burbedge | 2740236 | 8 | 08/07/2008 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| William Steven Batie | 2575173 | 2 | 08/01/2008 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Barry Craig MacDonald | 4138058 | 2 | 07/31/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Frank Dwyer | 2283295 | 12 | 07/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harley John Mann | 1995926 | 1 | 07/25/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Alphonse Fermano | 1029735 | 1 | 07/23/2008 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Thomas Kevin Thorson | 2450094 | 2 | 07/21/2008 | Customer Dispute | Closed-No Action | $14,576.20 | $0.00 | See FINRA Report |
| Julie Cassiani | 2957838 | 1 | 07/21/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Johnny Michael Lavigne | 2765561 | 3 | 07/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |