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 |
|---|---|---|---|---|---|---|---|---|
| Doyle Henry Brown | 723274 | 3 | 01/31/2003 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Carlos Joseph Hornbrook | 1393995 | 1 | 01/23/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Caltabilota | 2748832 | 3 | 01/16/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Randall Kessler | 1851719 | 2 | 01/13/2003 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Steven Charles Enders | 1067700 | 5 | 01/10/2003 | Customer Dispute | Settled | $8,277.77 | $0.00 | See FINRA Report |
| Michael Joseph Huerbin | 3168539 | 1 | 01/10/2003 | Customer Dispute | Settled | $16,161.00 | $0.00 | See FINRA Report |
| Ronald McArdle | 1095943 | 2 | 01/09/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Gerard Kalis | 1477960 | 1 | 01/08/2003 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Robert Louis Oates | 1875939 | 3 | 01/06/2003 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| J. Michael Seymour | 2480641 | 8 | 01/02/2003 | Customer Dispute | Settled | $122,000.00 | $0.00 | See FINRA Report |