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 |
|---|---|---|---|---|---|---|---|---|
| Roy Evans Williams | 1161149 | 3 | 07/25/2005 | Customer Dispute | Denied | $6,666.38 | $0.00 | See FINRA Report |
| Robert David Braun | 2042321 | 2 | 07/25/2005 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Alston Hall Killen | 705549 | 3 | 07/12/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Glen Henry Gotcsik | 1322756 | 2 | 07/07/2005 | Customer Dispute | Settled | $2,091,000.00 | $0.00 | See FINRA Report |
| Chester James Ritchie | 1988063 | 3 | 07/07/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Samuel Licary | 2260106 | 3 | 06/29/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christine Ann Theroux | 2100820 | 1 | 06/27/2005 | Customer Dispute | Denied | $486,959.00 | $0.00 | See FINRA Report |
| Leon Sirvaitis | 722945 | 1 | 06/25/2005 | Customer Dispute | Denied | $62,500.00 | $0.00 | See FINRA Report |
| Lee Reuel Kramer | 1465416 | 12 | 06/22/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Alan Smith | 1591540 | 1 | 06/21/2005 | Customer Dispute | Denied | $439,308.00 | $0.00 | See FINRA Report |