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 |
|---|---|---|---|---|---|---|---|---|
| Robert Frank Dwyer | 2283295 | 12 | 10/27/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Michael Jensen | 2740423 | 3 | 10/25/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Raymond Douglas Curtin | 2007519 | 5 | 10/22/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marvin Ray Fisher | 1159428 | 7 | 10/21/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Micheal Masaaki Ono | 2519655 | 2 | 10/21/2004 | Customer Dispute | Denied | $14,404.80 | $0.00 | See FINRA Report |
| Randall Vernon Greene | 2136535 | 1 | 10/21/2004 | Customer Dispute | Settled | $348,000.00 | $0.00 | See FINRA Report |
| Leeanna R Egnor-Smith | 4021216 | 1 | 10/20/2004 | Customer Dispute | Denied | $16,214.40 | $0.00 | See FINRA Report |
| Emmanuel D Harris | 1513927 | 4 | 10/19/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| David John Nagy | 2174150 | 2 | 10/18/2004 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Wesley Stiles Frierson | 4562335 | 1 | 10/15/2004 | Customer Dispute | Denied | $22,170.00 | $0.00 | See FINRA Report |