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 |
|---|---|---|---|---|---|---|---|---|
| J. Michael Seymour | 2480641 | 8 | 12/16/2005 | Customer Dispute | Settled | $1,400,000.00 | $0.00 | See FINRA Report |
| Anoput Phimmasone | 1837043 | 7 | 12/14/2005 | Customer Dispute | Denied | $7,676.00 | $0.00 | See FINRA Report |
| Thomas Patrick Gillespie | 822611 | 2 | 12/13/2005 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jason R Rasmussen | 6074487 | 6 | 11/29/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Gerard Campisi | 2144087 | 1 | 11/23/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Ellsworth Crosby | 1174974 | 2 | 11/21/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adam David Kaplan | 2485910 | 3 | 11/14/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jay J Adams | 2799510 | 5 | 11/09/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Samuel Crayton | 6757852 | 3 | 11/08/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Bradley Smith | 2651164 | 1 | 11/03/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |