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 |
|---|---|---|---|---|---|---|---|---|
| Gus Leno Andrews | 2362417 | 5 | 05/23/2005 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Leonard Abraham Witte | 811358 | 4 | 05/20/2005 | Customer Dispute | Denied | $18,921.10 | $0.00 | See FINRA Report |
| Daniel Thomas Dubois | 1468923 | 4 | 05/18/2005 | Customer Dispute | Settled | $327,000.00 | $0.00 | See FINRA Report |
| Gary Neil Krikorian | 1898737 | 4 | 05/17/2005 | Customer Dispute | Settled | $370,000.00 | $0.00 | See FINRA Report |
| Thomas Patrick Gillespie | 822611 | 2 | 05/16/2005 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Kate Makiye Okusa | 5312078 | 1 | 05/11/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marc Anthony Bongiorno | 2843043 | 2 | 05/11/2005 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Brian Ellsworth Crosby | 1174974 | 2 | 05/06/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nasir Hussain Jaffry | 3071164 | 1 | 05/04/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Paul Connor | 2602637 | 4 | 04/29/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |