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 |
|---|---|---|---|---|---|---|---|---|
| Richard Dale Robinette | 2184931 | 2 | 03/27/2001 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Dennis Brewster | 1089873 | 1 | 03/26/2001 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Dee S Walker | 1004635 | 3 | 03/14/2001 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |
| Thomas Franklin Barnes | 3199349 | 3 | 03/14/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Karen Rachelle Hansen | 2189218 | 5 | 03/14/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Howard Dougherty | 2753847 | 3 | 03/13/2001 | Customer Dispute | Denied | $6,464.00 | $0.00 | See FINRA Report |
| Cynthia S Spekhart | 2863228 | 1 | 03/13/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Judy S Wong | 3002262 | 5 | 03/09/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William John Lake | 1782525 | 1 | 03/09/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Christopher Walkup | 2258065 | 2 | 02/21/2001 | Customer Dispute | Withdrawn | $45,000.00 | $0.00 | See FINRA Report |