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 Joseph McMonigle | 712454 | 3 | 10/25/2002 | Customer Dispute | Denied | $401,258.00 | $0.00 | See FINRA Report |
| Sergio Kindler | 1690597 | 3 | 10/24/2002 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Daniel Gerard Shelley | 3053828 | 2 | 10/24/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lyndsay Rachel Kim | 2902606 | 1 | 10/18/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| J. Michael Seymour | 2480641 | 8 | 10/17/2002 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Nicholas Russell Green | 1288180 | 1 | 10/16/2002 | Customer Dispute | Denied | $92,000.00 | $0.00 | See FINRA Report |
| Jeffrey Glenn Moormeier | 1846287 | 3 | 10/15/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William John Friess | 814694 | 1 | 10/14/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Zory | 1975601 | 1 | 10/14/2002 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Kakim M Kunantaev | 2484955 | 3 | 10/14/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |