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 |
|---|---|---|---|---|---|---|---|---|
| Gus Leno Andrews | 2362417 | 5 | 07/15/2003 | Customer Dispute | Denied | $122,000.00 | $0.00 | See FINRA Report |
| Roger Noel Matson | 1728371 | 1 | 07/08/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George Julius Moeschlin | 1367634 | 3 | 07/08/2003 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Lee Reuel Kramer | 1465416 | 12 | 07/03/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Warren Steinborn | 434884 | 1 | 07/01/2003 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Michael Edwin Smith | 2702604 | 1 | 06/30/2003 | Customer Dispute | Settled | $4,341,900.00 | $0.00 | See FINRA Report |
| Robert Michael Becker | 1406849 | 1 | 06/25/2003 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Armand Joseph Fisher | 1528479 | 11 | 06/23/2003 | Customer Dispute | Pending | $71,199.00 | $0.00 | See FINRA Report |
| Susan Thornburg Grant | 1229705 | 1 | 06/23/2003 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Angeli Aguila Forster | 1240168 | 2 | 06/19/2003 | Customer Dispute | Award / Judgment | $250,000.00 | $138,000.00 | See FINRA Report |