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 |
|---|---|---|---|---|---|---|---|---|
| Jared Andrew Flanagan | 2586088 | 1 | 04/28/2005 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| Carl Anthony Moore | 1212274 | 3 | 04/19/2005 | Customer Dispute | Settled | $110,633.00 | $0.00 | See FINRA Report |
| Robert Lee Adams | 1457327 | 1 | 04/19/2005 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Christopher Charles Bartler | 5195669 | 1 | 04/17/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David George Martin | 321111 | 10 | 04/12/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Shannon Gardner | 3020106 | 1 | 04/08/2005 | Customer Dispute | Denied | $39,523.00 | $0.00 | See FINRA Report |
| Donald Robert Heilbuth | 1457625 | 2 | 04/06/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Andre Geels | 2191580 | 1 | 04/06/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gus Leno Andrews | 2362417 | 5 | 04/05/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arlon Ray Enmeier | 1000999 | 4 | 04/05/2005 | Customer Dispute | Closed-No Action | $27,359.00 | $0.00 | See FINRA Report |