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 |
|---|---|---|---|---|---|---|---|---|
| Tammy Jo Smith | 2570423 | 1 | 04/23/2003 | Customer Dispute | Settled | $176,965.00 | $0.00 | See FINRA Report |
| Gary Jesse Deardorff | 1216674 | 2 | 04/22/2003 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jason Neil Goldberg | 2647054 | 5 | 04/17/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Jeffrey Charles Vahanian | 1777656 | 1 | 04/16/2003 | Customer Dispute | Settled | $1,900,000.00 | $0.00 | See FINRA Report |
| Michael Donovan Puls | 2671882 | 1 | 04/16/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Glenn Moormeier | 1846287 | 3 | 04/15/2003 | Customer Dispute | Settled | $343,043.00 | $0.00 | See FINRA Report |
| Cesar Hugo Lopez | 2265364 | 7 | 04/14/2003 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| J. Michael Seymour | 2480641 | 8 | 04/14/2003 | Customer Dispute | Denied | $188,000.00 | $0.00 | See FINRA Report |
| Darren Mitchell Brennan | 2729234 | 4 | 04/14/2003 | Customer Dispute | Denied | $7,470.00 | $0.00 | See FINRA Report |
| Spencer Laurence Halliday | 1402123 | 2 | 04/11/2003 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |