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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Lewis Keck | 1147948 | 2 | 02/27/2007 | Customer Dispute | Denied | $8,525.00 | $0.00 | See FINRA Report |
| Robert Leroy Chess | 1174758 | 1 | 02/26/2007 | Customer Dispute | Settled | $356,867.00 | $0.00 | See FINRA Report |
| Robert Gary Thomas | 4546681 | 1 | 02/23/2007 | Customer Dispute | Denied | $6,014.34 | $0.00 | See FINRA Report |
| James Kevin Wilkins | 2053611 | 1 | 02/22/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Eric Tyson Bailey | 4815484 | 1 | 02/22/2007 | Customer Dispute | Settled | $55,578.40 | $0.00 | See FINRA Report |
| Douglas Anthony Raggio | 2192655 | 3 | 02/16/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Ardel Litten | 2044219 | 1 | 02/15/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Clay Allen Heil | 2400882 | 6 | 02/13/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Mark Wolfe | 2233933 | 1 | 02/09/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Michael Ochlan | 2949140 | 1 | 02/02/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |