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 |
|---|---|---|---|---|---|---|---|---|
| Todd Wayne Swanson | 2093511 | 1 | 06/24/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James P Godwin | 4456647 | 1 | 06/24/2002 | Customer Dispute | Settled | $10,341.30 | $0.00 | See FINRA Report |
| Paul David Decesare | 1833415 | 1 | 06/24/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Paul Poleon | 3116276 | 2 | 06/20/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Andrew de Luca | 2101239 | 1 | 06/20/2002 | Customer Dispute | Denied | $12,600.00 | $0.00 | See FINRA Report |
| Carey M Stansbury | 1587877 | 1 | 06/19/2002 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Cesar Hugo Lopez | 2265364 | 7 | 06/18/2002 | Customer Dispute | Denied | $84,000.00 | $0.00 | See FINRA Report |
| Thomas Randolph Hurt | 2157401 | 1 | 06/18/2002 | Customer Dispute | Closed-No Action | $21,847.00 | $0.00 | See FINRA Report |
| David Ahmad Afzal | 3226532 | 8 | 06/14/2002 | Customer Dispute | Denied | $28,100.00 | $0.00 | See FINRA Report |
| Joseph Charles Roubik | 2443120 | 4 | 06/14/2002 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |