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 |
|---|---|---|---|---|---|---|---|---|
| John Christian Futrell | 1682677 | 2 | 08/08/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Davidson Rorschach | 1780356 | 1 | 08/02/2002 | Customer Dispute | Closed-No Action | $95,000.00 | $0.00 | See FINRA Report |
| Jeffery Tyrone McKinnon | 1037683 | 8 | 08/02/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Paul Martin | 1021864 | 5 | 08/01/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Teresa Lynn McClelland-Sargent | 3137092 | 1 | 07/30/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Charles Glenn Cunningham | 2786567 | 2 | 07/24/2002 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Amy Marie Hedrick | 1030766 | 1 | 07/18/2002 | Customer Dispute | Settled | $167,450.00 | $0.00 | See FINRA Report |
| Philip Robert Hedrick | 1061047 | 3 | 07/18/2002 | Customer Dispute | Settled | $167,450.00 | $0.00 | See FINRA Report |
| Brian Paul Connor | 2602637 | 4 | 07/15/2002 | Customer Dispute | Denied | $413,857.00 | $0.00 | See FINRA Report |
| David James Toth | 2709304 | 3 | 07/15/2002 | Customer Dispute | Denied | $28,338.00 | $0.00 | See FINRA Report |