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 |
|---|---|---|---|---|---|---|---|---|
| Alfonso J Cumplido | 5844854 | 2 | 01/29/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jane An | 4683148 | 2 | 01/28/2008 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Douglas Anthony Raggio | 2192655 | 3 | 01/28/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Howard Weber | 1717681 | 6 | 01/24/2008 | Customer Dispute | Settled | $11,340.00 | $0.00 | See FINRA Report |
| Daniel Carlos Lacey | 4312702 | 3 | 01/23/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Camferdam | 1402345 | 28 | 01/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jason R Rasmussen | 6074487 | 6 | 01/14/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Lee Youngs | 1076279 | 1 | 01/14/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay J Adams | 2799510 | 5 | 01/09/2008 | Customer Dispute | Denied | $13,417.00 | $0.00 | See FINRA Report |
| Patrick Martin Thielen | 2336023 | 1 | 01/08/2008 | Customer Dispute | Denied | $6,704.25 | $0.00 | See FINRA Report |