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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Joseph Caltabilota | 2748832 | 3 | 02/10/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sergio Kindler | 1690597 | 3 | 02/05/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Conrad Earl Pearson | 1068155 | 3 | 02/03/2004 | Customer Dispute | Closed-No Action | $95,000.00 | $0.00 | See FINRA Report |
| Jill Harris Slayton | 1898524 | 3 | 01/30/2004 | Customer Dispute | Denied | $57,742.10 | $0.00 | See FINRA Report |
| Boyce Henry Goff | 4469040 | 2 | 01/27/2004 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| Anthony Paul Gregory | 1426285 | 2 | 01/23/2004 | Customer Dispute | Settled | $16,750.00 | $0.00 | See FINRA Report |
| Michael Sackstein | 2179447 | 2 | 01/22/2004 | Customer Dispute | Award / Judgment | $75,000.00 | $1.00 | See FINRA Report |
| Terry Craig Sandvold | 1571926 | 17 | 01/21/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul David Hein | 1810923 | 1 | 01/13/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lelis Marina Pond | 2082829 | 1 | 01/12/2004 | Customer Dispute | Settled | $99,938.00 | $0.00 | See FINRA Report |