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 |
|---|---|---|---|---|---|---|---|---|
| Delta Francine Jones-Walker | 2398856 | 3 | 08/13/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tiana Fowler Ronstadt | 2117017 | 2 | 08/09/2004 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| John Daniel Sabio | 1133964 | 1 | 08/05/2004 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| David Lee Wint | 869808 | 1 | 08/04/2004 | Customer Dispute | Denied | $357,000.00 | $0.00 | See FINRA Report |
| James P Kelley | 1694993 | 7 | 08/04/2004 | Customer Dispute | Denied | $14,200.00 | $0.00 | See FINRA Report |
| John Foster Wilkinson | 2156376 | 4 | 08/03/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Richard Femiano | 1253173 | 2 | 07/26/2004 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| David Lynn Eppey | 2986447 | 1 | 07/26/2004 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| David William Marrazzo | 1713924 | 1 | 07/19/2004 | Customer Dispute | Closed-No Action | $159,494.00 | $0.00 | See FINRA Report |
| Jean Jacques Pierre | 2842188 | 2 | 07/13/2004 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |