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 |
|---|---|---|---|---|---|---|---|---|
| Robert James Gentner | 1067594 | 3 | 09/07/2001 | Customer Dispute | Settled | $14,451.00 | $0.00 | See FINRA Report |
| Scott Douglas Harwell | 2693610 | 2 | 08/30/2001 | Customer Dispute | Denied | $7,714.71 | $0.00 | See FINRA Report |
| Priscilla Lee Roach | 825277 | 4 | 08/29/2001 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Vincent Gerard Ackley | 1173688 | 1 | 08/21/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Raymond Sutfin | 1601070 | 1 | 08/20/2001 | Customer Dispute | Denied | $47,000.00 | $0.00 | See FINRA Report |
| Doyle Eugene Walters | 2202155 | 2 | 08/14/2001 | Customer Dispute | Settled | $268,175.00 | $0.00 | See FINRA Report |
| Anthony Joseph Searcy | 1608315 | 2 | 08/10/2001 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Steven Mark Vanarnam | 1934647 | 8 | 08/02/2001 | Customer Dispute | Settled | $16,351.00 | $0.00 | See FINRA Report |
| Mark Edwin Kluge | 1179571 | 1 | 07/27/2001 | Customer Dispute | Settled | $130,300.00 | $0.00 | See FINRA Report |
| Betsy Lou Whipple | 2703262 | 7 | 07/27/2001 | Customer Dispute | Award / Judgment | $100,000.00 | $10,000.00 | See FINRA Report |