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 |
|---|---|---|---|---|---|---|---|---|
| Craig William Surprise | 4321571 | 3 | 02/15/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Robert Veater | 1482361 | 7 | 02/01/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Walter Zurek | 1022050 | 1 | 01/31/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Harold Duane Pope | 1051135 | 2 | 01/28/2000 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Harold Duane Pope | 1051135 | 2 | 01/28/2000 | Customer Dispute | Closed-No Action | $18,420.00 | $0.00 | See FINRA Report |
| Glen Henry Gotcsik | 1322756 | 2 | 01/28/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Sackstein | 2179447 | 2 | 01/20/2000 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| James Joseph McMonigle | 712454 | 3 | 01/17/2000 | Customer Dispute | Settled | $116,834.00 | $0.00 | See FINRA Report |
| Shahid Islam Malik | 2925715 | 2 | 01/14/2000 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Robert Lee Martin | 4693015 | 2 | 01/09/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |