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 |
|---|---|---|---|---|---|---|---|---|
| Edwin Joseph Klein | 1055513 | 2 | 04/20/2004 | Customer Dispute | Closed-No Action | $132,573.00 | $0.00 | See FINRA Report |
| Joseph David Westrup | 2027750 | 2 | 04/19/2004 | Customer Dispute | Denied | $10,309.30 | $0.00 | See FINRA Report |
| Johnny Michael Lavigne | 2765561 | 3 | 04/12/2004 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Daryl Tomobu Serizawa | 2293939 | 3 | 03/29/2004 | Customer Dispute | Settled | $43,123.00 | $0.00 | See FINRA Report |
| Ryan Mitchell Koszut | 4683795 | 1 | 03/29/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Corwin Eugene Davidson | 6196479 | 1 | 03/27/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Alberto Pereira | 1398662 | 3 | 03/26/2004 | Customer Dispute | Settled | $5,879.21 | $0.00 | See FINRA Report |
| Robert P Coletta | 1923707 | 1 | 03/23/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Justin Richard Poore | 4535609 | 1 | 03/23/2004 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Charles Ray Parks | 1060906 | 3 | 03/22/2004 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |