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 |
|---|---|---|---|---|---|---|---|---|
| John Patrick Wright | 1647673 | 1 | 12/06/2000 | Customer Dispute | Settled | $15,354.20 | $0.00 | See FINRA Report |
| Floyd Ellis Miller | 1103971 | 1 | 12/03/2000 | Customer Dispute | Denied | $14,690.60 | $0.00 | See FINRA Report |
| Charles R Green | 1491989 | 1 | 12/01/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Toan Thanh Le | 5178298 | 3 | 11/29/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Searcy | 1608315 | 2 | 11/13/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Wade Norman Roberts | 2252311 | 2 | 11/02/2000 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| George Thomas May | 853979 | 3 | 10/12/2000 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| George Matthew Barberich | 2684147 | 2 | 09/25/2000 | Customer Dispute | Settled | $10,842.00 | $0.00 | See FINRA Report |
| Steven B Sanders | 1852994 | 14 | 09/18/2000 | Customer Dispute | Settled | $11,341.00 | $0.00 | See FINRA Report |
| Joseph Michael Finkler | 2313206 | 1 | 09/11/2000 | Customer Dispute | Settled | $208,418.00 | $0.00 | See FINRA Report |