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 |
|---|---|---|---|---|---|---|---|---|
| Jason Neil Goldberg | 2647054 | 5 | 03/20/2002 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Davis | 2165596 | 4 | 03/15/2002 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Robert Randal Seal | 2023919 | 3 | 03/15/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Michael Nordmann | 2420731 | 1 | 03/14/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Jonathan McLellan | 2850776 | 2 | 03/13/2002 | Customer Dispute | Denied | $6,670.45 | $0.00 | See FINRA Report |
| Cesar Hugo Lopez | 2265364 | 7 | 03/13/2002 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| William Robert Farraj | 3132592 | 1 | 03/11/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Randall Edward Porter | 5790880 | 1 | 03/09/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Kay Springer | 1399186 | 5 | 03/04/2002 | Customer Dispute | Settled | $126,989.00 | $0.00 | See FINRA Report |
| Tamara Donel Perrin-Preus | 1640913 | 1 | 02/28/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |