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 |
|---|---|---|---|---|---|---|---|---|
| Scott Edward Fluet | 2228101 | 2 | 04/01/2005 | Customer Dispute | Denied | $39,000.00 | $0.00 | See FINRA Report |
| Kevin James Appelbaum | 2732809 | 3 | 03/30/2005 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Max Alan Hockenberry | 1522049 | 1 | 03/29/2005 | Customer Dispute | Settled | $13,500.00 | $0.00 | See FINRA Report |
| Alston Hall Killen | 705549 | 3 | 03/25/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daryl Tomobu Serizawa | 2293939 | 3 | 03/23/2005 | Customer Dispute | Denied | $119,755.00 | $0.00 | See FINRA Report |
| John Lewis Campbell | 1700620 | 3 | 03/23/2005 | Customer Dispute | Denied | $11,671.00 | $0.00 | See FINRA Report |
| Craig Hollis Forbes | 3272806 | 1 | 03/21/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Craig | 1534744 | 6 | 03/14/2005 | Customer Dispute | Closed-No Action | $7,100.04 | $0.00 | See FINRA Report |
| Eric Michael Jensen | 2740423 | 3 | 03/10/2005 | Customer Dispute | Denied | $83,283.00 | $0.00 | See FINRA Report |
| Douglas William Gallwas | 1862864 | 2 | 02/28/2005 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |