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 |
|---|---|---|---|---|---|---|---|---|
| James Alan Hawryliak | 1123833 | 3 | 11/18/2002 | Customer Dispute | Award / Judgment | $148,000.00 | $148,000.00 | See FINRA Report |
| James Ransom Potoka | 1023936 | 3 | 11/15/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| J.Shane Gentry | 2917758 | 3 | 11/10/2002 | Customer Dispute | Settled | $11,749.30 | $0.00 | See FINRA Report |
| David Ahmad Afzal | 3226532 | 8 | 11/07/2002 | Customer Dispute | Denied | $6,486.63 | $0.00 | See FINRA Report |
| Douglas William Gallwas | 1862864 | 2 | 11/04/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Donald Leonard Like | 833667 | 1 | 11/01/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Royce Todd Ruth | 2790825 | 3 | 10/31/2002 | Customer Dispute | Closed-No Action | $5,797.24 | $0.00 | See FINRA Report |
| Joe P Moore | 873580 | 3 | 10/30/2002 | Customer Dispute | Settled | $60,112.00 | $0.00 | See FINRA Report |
| Kenneth Scott Brandenburg | 1000539 | 11 | 10/29/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Melvin Clifford | 1315115 | 1 | 10/25/2002 | Customer Dispute | Denied | $104,562.00 | $0.00 | See FINRA Report |