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 | 06/17/2004 | Customer Dispute | Closed-No Action | $249,580.00 | $0.00 | See FINRA Report |
| Anoput Phimmasone | 1837043 | 7 | 06/15/2004 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Lori Jean Nelson | 1627344 | 1 | 06/07/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Wayne Mattocks | 2193216 | 3 | 06/06/2004 | Customer Dispute | Denied | $95,338.40 | $0.00 | See FINRA Report |
| Lee Reuel Kramer | 1465416 | 12 | 05/27/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Francis Donovan | 2225746 | 2 | 05/25/2004 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Pablo Rene Zalduendo | 1196913 | 4 | 05/24/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Howard Saranovitz | 2124800 | 1 | 05/24/2004 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| George Robert Veater | 1482361 | 7 | 05/24/2004 | Customer Dispute | Denied | $720,000.00 | $0.00 | See FINRA Report |
| Shahid Islam Malik | 2925715 | 2 | 05/21/2004 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |