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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Albert Slater | 1547792 | 7 | 01/12/2004 | Customer Dispute | Denied | $32,500.00 | $0.00 | See FINRA Report |
| Paul Edward Gillham | 2708200 | 2 | 01/09/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kris Allen Lesley | 2251307 | 1 | 01/09/2004 | Customer Dispute | Settled | $178,535.00 | $0.00 | See FINRA Report |
| Steven Joseph Schmitz | 1432690 | 7 | 01/05/2004 | Customer Dispute | Settled | $166,000.00 | $0.00 | See FINRA Report |
| Steven Joseph Schmitz | 1432690 | 7 | 01/05/2004 | Customer Dispute | Settled | $581,000.00 | $0.00 | See FINRA Report |
| Bryan Eugene Tenney | 2348734 | 1 | 12/31/2003 | Customer Dispute | Settled | $5,412.00 | $0.00 | See FINRA Report |
| Steven John Sell | 2069383 | 5 | 12/29/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Griffin Spry | 3206919 | 1 | 12/19/2003 | Customer Dispute | Denied | $12,662.80 | $0.00 | See FINRA Report |
| Mark Markland | 1487083 | 4 | 12/12/2003 | Customer Dispute | Denied | $18,209.00 | $0.00 | See FINRA Report |
| James Dennis Hough | 1216930 | 1 | 12/12/2003 | Customer Dispute | Denied | $45,630.10 | $0.00 | See FINRA Report |