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 |
|---|---|---|---|---|---|---|---|---|
| Arthur Robert Weiss | 1089283 | 5 | 01/01/2003 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Randal Scott Poirier | 3030356 | 1 | 12/30/2002 | Customer Dispute | Closed-No Action | $9,314.00 | $0.00 | See FINRA Report |
| Frank Ralph Lavin | 1645638 | 1 | 12/23/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Raymond K Bramer | 28691 | 2 | 12/16/2002 | Customer Dispute | Settled | $97,000.00 | $0.00 | See FINRA Report |
| Lee Reuel Kramer | 1465416 | 12 | 12/13/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Bernard Kincer | 2658024 | 1 | 12/11/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Farrel Lynn Carlson | 40777 | 3 | 12/04/2002 | Customer Dispute | Settled | $13,982.80 | $0.00 | See FINRA Report |
| Anthony Scott Carini | 1434330 | 3 | 12/04/2002 | Customer Dispute | Denied | $7,600.00 | $0.00 | See FINRA Report |
| Brent Allen McCune | 1342845 | 1 | 12/03/2002 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| J. Michael Seymour | 2480641 | 8 | 11/26/2002 | Customer Dispute | Denied | $865,000.00 | $0.00 | See FINRA Report |