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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Paul Mamula | 2201525 | 3 | 03/21/2003 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Anthony Scott Carini | 1434330 | 3 | 03/18/2003 | Customer Dispute | Denied | $14,240.60 | $0.00 | See FINRA Report |
| Scott David Kinderman | 2103939 | 2 | 03/14/2003 | Customer Dispute | Settled | $17,252.90 | $0.00 | See FINRA Report |
| Sungki Lynn Leemaster | 2823736 | 2 | 03/14/2003 | Customer Dispute | Settled | $300,618.00 | $0.00 | See FINRA Report |
| Robert James Pollio | 727394 | 1 | 03/12/2003 | Customer Dispute | Denied | $70,669.00 | $0.00 | See FINRA Report |
| Judy S Wong | 3002262 | 5 | 03/11/2003 | Customer Dispute | Denied | $29,000.00 | $0.00 | See FINRA Report |
| Sammy Joe Johnson | 4109871 | 2 | 03/10/2003 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Alva Randall Royston | 830124 | 1 | 03/07/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rudi Richard Hoffman | 1172103 | 2 | 03/07/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mario Kai Ming Yim | 2565839 | 2 | 03/05/2003 | Customer Dispute | Award / Judgment | $110,000.00 | $44,000.00 | See FINRA Report |