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 |
|---|---|---|---|---|---|---|---|---|
| Francis Albert Lieberum | 4537120 | 1 | 12/10/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Troy Allen Bruce | 3066498 | 1 | 12/08/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marvin Ray Fisher | 1159428 | 7 | 12/05/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Casey Patrick O'Gorman | 1983923 | 2 | 12/04/2006 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Jack Martin Carstens | 3242997 | 3 | 11/20/2006 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Arthur Payant | 845353 | 5 | 11/20/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nancy Cooper Kelsey | 1624558 | 3 | 11/20/2006 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Calvin Seaborn Sumner | 713266 | 6 | 11/13/2006 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Joshua Michael Graeff | 5469179 | 1 | 11/13/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bobby Ray Payne | 1795408 | 6 | 11/10/2006 | Customer Dispute | Denied | $52,519.00 | $0.00 | See FINRA Report |