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 |
|---|---|---|---|---|---|---|---|---|
| Haralambos Ignatios Kitsos | 2194430 | 2 | 04/15/2002 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Erin Barker | 6926307 | 1 | 04/13/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Harold Wingerd | 2165999 | 3 | 04/11/2002 | Customer Dispute | Denied | $104,000.00 | $0.00 | See FINRA Report |
| Gary Thomas Charlebois | 724971 | 2 | 04/09/2002 | Customer Dispute | Denied | $226,249.00 | $0.00 | See FINRA Report |
| Norman Bradford Tucker | 2479384 | 1 | 04/09/2002 | Customer Dispute | Denied | $226,249.00 | $0.00 | See FINRA Report |
| Thomas Carroll Pilkington | 1523032 | 1 | 04/08/2002 | Customer Dispute | Denied | $6,300.00 | $0.00 | See FINRA Report |
| Bernard Ross Michaud | 2209466 | 3 | 04/03/2002 | Customer Dispute | Closed-No Action | $1,000,000.00 | $0.00 | See FINRA Report |
| Kenneth Scott Brandenburg | 1000539 | 11 | 04/02/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchael Clifford Oslund | 2042235 | 1 | 03/26/2002 | Customer Dispute | Denied | $18,346.00 | $0.00 | See FINRA Report |
| J Graydon Coghlan | 2281065 | 3 | 03/25/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |