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 |
|---|---|---|---|---|---|---|---|---|
| Hilary Elizabeth O'Malley | 2314563 | 4 | 07/21/2000 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Rebecca Jeannette Stevens | 1653885 | 1 | 07/12/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stanley John Filimon | 2124630 | 1 | 07/07/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul James Pittman | 2570402 | 7 | 06/26/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| George Julius Moeschlin | 1367634 | 3 | 06/21/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Scott Killworth | 4586267 | 1 | 06/13/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Pamela James Ostrander | 2965759 | 3 | 06/08/2000 | Customer Dispute | Denied | $11,683.30 | $0.00 | See FINRA Report |
| Edward Mitchell Gardner | 1067519 | 2 | 05/29/2000 | Customer Dispute | Closed-No Action | $31,933.80 | $0.00 | See FINRA Report |
| Bradley Todd Waznik | 1717571 | 1 | 05/24/2000 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| David Alan Watercutter | 2217472 | 1 | 05/11/2000 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |