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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Thomas Kruss | 2791830 | 1 | 07/11/2002 | Customer Dispute | Settled | $13,680.00 | $0.00 | See FINRA Report |
| Anthony Scott Carini | 1434330 | 3 | 07/10/2002 | Customer Dispute | Settled | $17,593.20 | $0.00 | See FINRA Report |
| Lawrence Arthur Gekiere | 219438 | 2 | 07/10/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Douglas Harwell | 2693610 | 2 | 07/08/2002 | Customer Dispute | Pending | $145,000.00 | $0.00 | See FINRA Report |
| Raymond Thomas Blunk | 2011245 | 7 | 07/08/2002 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See FINRA Report |
| David Dee Thomas | 445055 | 1 | 07/08/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Dee S Walker | 1004635 | 3 | 07/03/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Joseph Schmitz | 1432690 | 7 | 07/03/2002 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Willie Joe Howard | 2767165 | 3 | 07/02/2002 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Robert Lee Groetsch | 1429196 | 3 | 06/26/2002 | Customer Dispute | Settled | $5,507.04 | $0.00 | See FINRA Report |