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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Thomas Dubois | 1468923 | 4 | 12/22/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Louis Martin Wargo | 1416101 | 6 | 12/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Kenneth Carroll | 1073745 | 1 | 12/20/2004 | Customer Dispute | Denied | $5,500.00 | $0.00 | See FINRA Report |
| George Robert Veater | 1482361 | 7 | 12/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin James Appelbaum | 2732809 | 3 | 12/15/2004 | Customer Dispute | Denied | $8,369.00 | $0.00 | See FINRA Report |
| Cynthia Susan Pelosi | 3060831 | 2 | 12/02/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey B Julander | 2837133 | 1 | 11/29/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Brian Mooney | 2562218 | 6 | 11/23/2004 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Terry Craig Sandvold | 1571926 | 17 | 11/23/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Frank Denkers | 1962857 | 1 | 11/22/2004 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |