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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Stuart Mickey | 1028056 | 2 | 09/01/2000 | Customer Dispute | Settled | $6,632.00 | $0.00 | See FINRA Report |
| Richard Norman Fichter | 1135242 | 3 | 08/31/2000 | Customer Dispute | Settled | $8,169.00 | $0.00 | See FINRA Report |
| Tae Chung Kim | 5637680 | 4 | 08/22/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Mitchell Gardner | 1067519 | 2 | 08/16/2000 | Customer Dispute | Closed-No Action | $103,328.00 | $0.00 | See FINRA Report |
| Marc J Minkoff | 1672824 | 2 | 08/14/2000 | Customer Dispute | Settled | $326,000.00 | $0.00 | See FINRA Report |
| Frederick Jon Metzger | 1031641 | 1 | 08/10/2000 | Customer Dispute | Closed-No Action | $80,974.20 | $0.00 | See FINRA Report |
| Gregg Eugene Sautter | 1440761 | 4 | 08/09/2000 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Michael A Pisacane | 1584824 | 1 | 08/03/2000 | Customer Dispute | Denied | $12,410.00 | $0.00 | See FINRA Report |
| Timothy Stuart Mickey | 1028056 | 2 | 08/01/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Andrew Kilpatrick | 2418838 | 3 | 07/25/2000 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |