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 |
|---|---|---|---|---|---|---|---|---|
| Neil Brian Greenberg | 2564000 | 5 | 10/03/2003 | Customer Dispute | Denied | $9,701.30 | $0.00 | See FINRA Report |
| Daniel Hrenko | 871849 | 1 | 10/03/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Edward Gillham | 2708200 | 2 | 10/01/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Curt Edelman | 1691767 | 2 | 09/30/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jack Martin Carstens | 3242997 | 3 | 09/29/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jennifer Lawson Griffis | 3210999 | 3 | 09/25/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alan Cole | 2662008 | 1 | 09/21/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenward Lavon Stone | 1198779 | 21 | 09/17/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven John Sell | 2069383 | 5 | 09/15/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alston Hall Killen | 705549 | 3 | 09/11/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |