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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Steven Porto | 2026771 | 1 | 10/13/2004 | Customer Dispute | Settled | $24,512.20 | $0.00 | See FINRA Report |
| David John Nagy | 2174150 | 2 | 10/07/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Michael Maris | 2177794 | 3 | 10/06/2004 | Customer Dispute | Settled | $366,775.00 | $0.00 | See FINRA Report |
| Charles Michael Moore | 873685 | 3 | 10/04/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Paul Frederic Arutt | 1335916 | 3 | 10/01/2004 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Robert David Braun | 2042321 | 2 | 09/23/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 09/20/2004 | Customer Dispute | Settled | $199,552.00 | $0.00 | See FINRA Report |
| Arthur Milton Gettinger | 2033692 | 4 | 09/20/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Keith Roger Hullum | 4678778 | 1 | 09/13/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert Gene Horton | 502074 | 1 | 09/13/2004 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |