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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Carlos Lacey | 4312702 | 3 | 10/23/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| John Hartland McKeown | 2116798 | 2 | 10/21/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cliff van Ittersum | 1060059 | 2 | 10/15/2003 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Brian Jay Tollin | 2661259 | 4 | 10/14/2003 | Customer Dispute | Closed-No Action | $65,100.00 | $0.00 | See FINRA Report |
| Louis Romero Barragan | 4601594 | 1 | 10/14/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven John Sell | 2069383 | 5 | 10/10/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Martin Carstens | 3242997 | 3 | 10/09/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Derek Levi Cate | 5629880 | 1 | 10/09/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Nee | 2049953 | 1 | 10/08/2003 | Customer Dispute | Award / Judgment | $733,700.00 | $206,562.00 | See FINRA Report |
| Gary Alberto Pereira | 1398662 | 3 | 10/06/2003 | Customer Dispute | Denied | $23,668.40 | $0.00 | See FINRA Report |