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 |
|---|---|---|---|---|---|---|---|---|
| David Alan Sharp | 2425181 | 2 | 05/09/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jason Neil Goldberg | 2647054 | 5 | 05/07/2002 | Customer Dispute | Denied | $33,214.60 | $0.00 | See FINRA Report |
| Richard Paul Martin | 1021864 | 5 | 05/06/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Joseph Schmitz | 1432690 | 7 | 05/03/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kenneth John Saunders | 1481528 | 6 | 05/03/2002 | Customer Dispute | Settled | $260,000.00 | $0.00 | See FINRA Report |
| Marc J Minkoff | 1672824 | 2 | 05/03/2002 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 05/02/2002 | Customer Dispute | Denied | $25,971.90 | $0.00 | See FINRA Report |
| Barbara Ann Stonnell | 1674730 | 1 | 04/30/2002 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Stephen Russell Sturkie | 2935081 | 1 | 04/29/2002 | Customer Dispute | Settled | $44,660.00 | $0.00 | See FINRA Report |
| Richard John Artura | 2504420 | 1 | 04/21/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |