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 |
|---|---|---|---|---|---|---|---|---|
| Kent Edward Bowman | 1244354 | 8 | 07/26/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Curt Edelman | 1691767 | 2 | 07/19/2001 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Kent Edward Bowman | 1244354 | 8 | 07/01/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jacob Douglas Mokry | 5467674 | 1 | 06/27/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Arnold Mandt | 5932367 | 3 | 06/22/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Saunders | 1481528 | 6 | 06/14/2001 | Customer Dispute | Settled | $547,018.00 | $0.00 | See FINRA Report |
| Robert Orson Devore | 4351278 | 2 | 06/08/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Costello | 1242871 | 4 | 06/04/2001 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| Jeffrey Kenneth Bogdan | 4452073 | 1 | 05/31/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Emil Fredrickson | 2748994 | 1 | 05/29/2001 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |