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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Jacob Osherow | 2230819 | 3 | 05/22/2001 | Customer Dispute | Denied | $9,845.00 | $0.00 | See FINRA Report |
| Nicholas Paul Mamula | 2201525 | 3 | 05/03/2001 | Customer Dispute | Withdrawn | $8,000.00 | $0.00 | See FINRA Report |
| J.Shane Gentry | 2917758 | 3 | 04/25/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Johnny Glenn Emerson | 1076825 | 2 | 04/25/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raymond Douglas Curtin | 2007519 | 5 | 04/18/2001 | Customer Dispute | Denied | $7,207.77 | $0.00 | See FINRA Report |
| Judy S Wong | 3002262 | 5 | 04/06/2001 | Customer Dispute | Settled | $19,070.50 | $0.00 | See FINRA Report |
| Christopher Todd Benoit | 1583587 | 3 | 04/05/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Ralph Hokr | 1194034 | 2 | 04/04/2001 | Customer Dispute | Denied | $48,000.00 | $0.00 | See FINRA Report |
| Mario Kai Ming Yim | 2565839 | 2 | 04/02/2001 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Charles Leroy Myhre | 1649894 | 1 | 03/29/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |