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 |
|---|---|---|---|---|---|---|---|---|
| David Alan Sharp | 2425181 | 2 | 07/14/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Colmore Beane | 708562 | 1 | 07/11/2008 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Calvin Seaborn Sumner | 713266 | 6 | 07/09/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Calvin Seaborn Sumner | 713266 | 6 | 07/09/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Thomas John Clay | 2858302 | 1 | 07/09/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sandra Salmon | 2102321 | 6 | 07/09/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lester Joseph Tadej | 714914 | 1 | 07/08/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Chad David Steeves | 1904811 | 1 | 07/07/2008 | Customer Dispute | Settled | $31,069.00 | $0.00 | See FINRA Report |
| Donald Robert Heilbuth | 1457625 | 2 | 07/01/2008 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| William Smoltino | 4834762 | 1 | 06/30/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |