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 |
|---|---|---|---|---|---|---|---|---|
| Kendall Melvin Klaus | 1270347 | 1 | 03/03/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Carroll | 1204110 | 1 | 03/01/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Paul Martin | 1021864 | 5 | 02/21/2006 | Customer Dispute | Settled | $1,097,160.00 | $0.00 | See FINRA Report |
| Jay J Adams | 2799510 | 5 | 02/15/2006 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Jonna Doris Keller | 1983864 | 2 | 02/15/2006 | Customer Dispute | Settled | $141,123.00 | $0.00 | See FINRA Report |
| Katherine Bartlett Kennedy | 4189155 | 1 | 02/10/2006 | Customer Dispute | Withdrawn | $11,061.50 | $0.00 | See FINRA Report |
| Daniel Gerard Shelley | 3053828 | 2 | 02/08/2006 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Daniel Carlos Lacey | 4312702 | 3 | 02/07/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Marie Ellis | 2015455 | 2 | 02/06/2006 | Customer Dispute | Denied | $43,866.20 | $0.00 | See FINRA Report |
| Susan Carol Swinehart | 1794087 | 1 | 02/06/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |