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 |
|---|---|---|---|---|---|---|---|---|
| Raymond Douglas Curtin | 2007519 | 5 | 03/24/2000 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Brian Matthew Harris | 2173734 | 1 | 03/20/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lonny Lee Winters | 6011746 | 1 | 03/20/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Robert Joyce | 5593705 | 2 | 03/16/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Joseph Weiss | 462400 | 2 | 03/15/2000 | Customer Dispute | Settled | $117,000.00 | $0.00 | See FINRA Report |
| David Andrew Knierim | 2821017 | 2 | 03/13/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Saunders | 1481528 | 6 | 03/13/2000 | Customer Dispute | Settled | $456,900.00 | $0.00 | See FINRA Report |
| Kenneth John Saunders | 1481528 | 6 | 03/09/2000 | Customer Dispute | Settled | $324,000.00 | $0.00 | See FINRA Report |
| Gary Coley Meyerer | 872752 | 3 | 03/03/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dan Pope Hagler | 2456668 | 1 | 02/22/2000 | Customer Dispute | Denied | $5,081.88 | $0.00 | See FINRA Report |