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 |
|---|---|---|---|---|---|---|---|---|
| Larry Wainwright | 3002118 | 1 | 05/20/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Norman Fichter | 1135242 | 3 | 05/19/2003 | Customer Dispute | Settled | $370,106.00 | $0.00 | See FINRA Report |
| Mark Harold Wingerd | 2165999 | 3 | 05/15/2003 | Customer Dispute | Settled | $117,546.00 | $0.00 | See FINRA Report |
| Trudy Diane Haussmann | 1596890 | 1 | 05/14/2003 | Customer Dispute | Denied | $32,964.50 | $0.00 | See FINRA Report |
| Bobby Ray Payne | 1795408 | 6 | 05/06/2003 | Customer Dispute | Denied | $9,297.88 | $0.00 | See FINRA Report |
| Donald Robert Skadow | 1009447 | 1 | 05/01/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Arthur Payant | 845353 | 5 | 04/29/2003 | Customer Dispute | Denied | $47,000.00 | $0.00 | See FINRA Report |
| Kenward Lavon Stone | 1198779 | 21 | 04/25/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Michael Lauzon | 1687937 | 1 | 04/23/2003 | Customer Dispute | Denied | $156,069.00 | $0.00 | See FINRA Report |
| Michael J D'Epagnier | 2067061 | 1 | 04/23/2003 | Customer Dispute | Settled | $176,965.00 | $0.00 | See FINRA Report |