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 |
|---|---|---|---|---|---|---|---|---|
| John Joseph Frye | 2831584 | 1 | 07/12/2004 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Jonathan David Cox | 4414355 | 1 | 07/11/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Paul Poleon | 3116276 | 2 | 07/09/2004 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Patrick Francis van Sumeren | 2154315 | 1 | 07/08/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Minoti Hemant Rajput | 1122475 | 1 | 07/07/2004 | Customer Dispute | Settled | $530,000.00 | $0.00 | See FINRA Report |
| Robert John O'Donnell | 1012235 | 2 | 07/02/2004 | Customer Dispute | Settled | $39,063.50 | $0.00 | See FINRA Report |
| Michael Shane Cullen | 1222982 | 1 | 06/28/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Wayne Stremick | 2737392 | 4 | 06/23/2004 | Customer Dispute | Withdrawn | $6,098.67 | $0.00 | See FINRA Report |
| Jason Henry Gatts | 1034283 | 2 | 06/18/2004 | Customer Dispute | Settled | $832,365.00 | $0.00 | See FINRA Report |
| Peter Even Dahlstrom | 1661656 | 2 | 06/18/2004 | Customer Dispute | Denied | $181,448.00 | $0.00 | See FINRA Report |