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 |
|---|---|---|---|---|---|---|---|---|
| Anoput Phimmasone | 1837043 | 7 | 08/02/1999 | Customer Dispute | Settled | $16,700.00 | $0.00 | See FINRA Report |
| Anthony James Noble | 4894797 | 1 | 08/02/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Craig | 1534744 | 6 | 07/30/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenward Lavon Stone | 1198779 | 21 | 07/26/1999 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Milligan | 2393283 | 3 | 07/23/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Dennis Kenslow | 1830169 | 1 | 07/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Morris Friedman | 807233 | 5 | 06/30/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bajihe Janowitz | 2447283 | 1 | 06/30/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Clark Gossling | 2545451 | 2 | 06/17/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Darren Edward Watson | 4390369 | 2 | 06/12/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |