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 |
|---|---|---|---|---|---|---|---|---|
| Fred Christian Scheller | 1063971 | 1 | 07/28/2003 | Customer Dispute | Settled | $375,149.00 | $0.00 | See FINRA Report |
| Robert Lee Groetsch | 1429196 | 3 | 07/28/2003 | Customer Dispute | Settled | $23,673.00 | $0.00 | See FINRA Report |
| Robert Lee Groetsch | 1429196 | 3 | 07/28/2003 | Customer Dispute | Settled | $15,930.30 | $0.00 | See FINRA Report |
| Doyle Eugene Walters | 2202155 | 2 | 07/25/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Samuel Lee Collins | 3268897 | 2 | 07/25/2003 | Customer Dispute | Denied | $21,091.00 | $0.00 | See FINRA Report |
| Judy S Wong | 3002262 | 5 | 07/25/2003 | Customer Dispute | Denied | $25,148.80 | $0.00 | See FINRA Report |
| Thomas Patrick Kerins | 2381084 | 1 | 07/25/2003 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Brian Jay Tollin | 2661259 | 4 | 07/23/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Christine Boyden Young Dinan | 4088109 | 1 | 07/21/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arthur Robert Weiss | 1089283 | 5 | 07/16/2003 | Customer Dispute | Denied | $11,994.00 | $0.00 | See FINRA Report |