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 |
|---|---|---|---|---|---|---|---|---|
| Gina Marie Duryea | 2123653 | 1 | 06/01/2007 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Rusti Lynn Keeley Anderson | 2126237 | 2 | 05/22/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Dubois | 1468923 | 4 | 05/22/2007 | Customer Dispute | Denied | $15,406.00 | $0.00 | See FINRA Report |
| Genie Genoveva Lebay-Short | 4668596 | 2 | 05/21/2007 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Anoput Phimmasone | 1837043 | 7 | 05/15/2007 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Toan Thanh Le | 5178298 | 3 | 05/04/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Farrel Lynn Carlson | 40777 | 3 | 05/02/2007 | Customer Dispute | Settled | $10,112.00 | $0.00 | See FINRA Report |
| Charles Duaine Arbeiter | 1315766 | 4 | 04/16/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bobb Arthur Meckenstock | 1152284 | 3 | 04/12/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel John Dunn | 3105100 | 6 | 04/10/2007 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |