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 |
|---|---|---|---|---|---|---|---|---|
| John A Kendall | 863374 | 3 | 09/10/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven John Sell | 2069383 | 5 | 09/09/2003 | Customer Dispute | Withdrawn | $257,570.00 | $0.00 | See FINRA Report |
| Bobby Ray Payne | 1795408 | 6 | 08/25/2003 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Joshua David Swayne | 4296721 | 3 | 08/20/2003 | Customer Dispute | Denied | $25,778.00 | $0.00 | See FINRA Report |
| George Robert Veater | 1482361 | 7 | 08/08/2003 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| George Robert Veater | 1482361 | 7 | 08/08/2003 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Scott D Edelman | 2740869 | 1 | 08/05/2003 | Customer Dispute | Denied | $18,553.00 | $0.00 | See FINRA Report |
| Willie Joe Howard | 2767165 | 3 | 08/04/2003 | Customer Dispute | Denied | $97,158.00 | $0.00 | See FINRA Report |
| David Rocco L'Erario | 857542 | 2 | 07/31/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth Scott Brandenburg | 1000539 | 11 | 07/29/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |