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 |
|---|---|---|---|---|---|---|---|---|
| Bruce David Hermann | 2399318 | 3 | 02/13/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffery Tyrone McKinnon | 1037683 | 8 | 02/01/2001 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Curtis Alfred Knauss | 272225 | 2 | 01/30/2001 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Donna Sudyn | 1777480 | 4 | 01/25/2001 | Customer Dispute | Denied | $5,800.00 | $0.00 | See FINRA Report |
| Betsy Lou Whipple | 2703262 | 7 | 01/05/2001 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Bruce David Hermann | 2399318 | 3 | 01/04/2001 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Brian Laron Honn | 2202015 | 1 | 01/03/2001 | Customer Dispute | Withdrawn | $6,000.00 | $0.00 | See FINRA Report |
| John Chaney Griffin | 2373019 | 1 | 01/02/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Phillip Jason Chapman | 2439743 | 2 | 12/18/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Thomas Hartrich | 3146377 | 1 | 12/13/2000 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |