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 |
|---|---|---|---|---|---|---|---|---|
| Lynn Ronald Waddell | 1536052 | 1 | 11/19/2004 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |
| Kathleen Antoinette Graham | 1473329 | 1 | 11/19/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jennifer Lawson Griffis | 3210999 | 3 | 11/17/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Charles Ray Parks | 1060906 | 3 | 11/10/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Wesley Duncan | 4309377 | 1 | 11/08/2004 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| John Peter Strasburger | 874560 | 1 | 11/01/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David George Martin | 321111 | 10 | 11/01/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Wales Busey | 2584688 | 1 | 11/01/2004 | Customer Dispute | Award / Judgment | $46,000.00 | $5,000.00 | See FINRA Report |
| Steven Darryl Lindberg | 2394489 | 1 | 10/29/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry Craig Sandvold | 1571926 | 17 | 10/29/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |