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 |
|---|---|---|---|---|---|---|---|---|
| Robert Glenn Warren | 1025032 | 3 | 09/01/2006 | Customer Dispute | Settled | $59,000.00 | $0.00 | See FINRA Report |
| Karen Rachelle Hansen | 2189218 | 5 | 08/30/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tyler Nicholas Broek | 6269078 | 1 | 08/09/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Micheal Masaaki Ono | 2519655 | 2 | 08/03/2006 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Lee Alan Duckworth | 2097591 | 5 | 07/31/2006 | Customer Dispute | Closed-No Action | $9,500.00 | $0.00 | See FINRA Report |
| Peter James Alofsin | 2274434 | 3 | 07/31/2006 | Customer Dispute | Closed-No Action | $9,500.00 | $0.00 | See FINRA Report |
| Jeffrey Lee White | 1766432 | 1 | 07/26/2006 | Customer Dispute | Denied | $56,000.00 | $0.00 | See FINRA Report |
| Richard Keeler Jones | 1047598 | 1 | 07/11/2006 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Raymond Paul Jacques | 1451245 | 2 | 07/07/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glenn Pearson Lyons | 4661216 | 1 | 07/03/2006 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |