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 |
|---|---|---|---|---|---|---|---|---|
| James Christopher Plasko | 4466740 | 2 | 04/01/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jimmy Sherrod Holland | 1182841 | 1 | 03/27/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Lee Maynard | 3262594 | 1 | 03/26/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Richard Kneip | 1158125 | 1 | 03/26/2008 | Customer Dispute | Denied | $8,575.31 | $0.00 | See FINRA Report |
| Airung Liu | 4661602 | 2 | 03/24/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerry Lee Cline | 1350020 | 2 | 03/18/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Robert Burbedge | 2740236 | 8 | 03/18/2008 | Customer Dispute | Denied | $19,573.90 | $0.00 | See FINRA Report |
| Kevin John Bateman | 2588017 | 2 | 03/17/2008 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Robert Scott Thomas | 2750158 | 1 | 03/17/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Michael Collins | 1670675 | 3 | 03/15/2008 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |