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 |
|---|---|---|---|---|---|---|---|---|
| Paulette Conners Auclair | 2688629 | 2 | 06/10/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pablo Rene Zalduendo | 1196913 | 4 | 06/08/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kerry Elton Bolen | 733408 | 4 | 06/08/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Fred Alden Forbes | 719942 | 1 | 05/20/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Thomas John Santucci | 2692668 | 1 | 05/07/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Steven Eberts | 4898794 | 1 | 05/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Gregg Ellen | 1918119 | 7 | 04/29/1999 | Customer Dispute | Settled | $37,000.00 | $0.00 | See FINRA Report |
| David Eugene Skultety | 2549650 | 1 | 04/22/1999 | Customer Dispute | Withdrawn | $25,378.00 | $0.00 | See FINRA Report |
| Mark Richard McGill | 2160425 | 5 | 04/16/1999 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| James Branch Laneave | 1379157 | 2 | 04/13/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |