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 |
|---|---|---|---|---|---|---|---|---|
| Phillip Jason Chapman | 2439743 | 2 | 03/15/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mary Rose Limoges | 734263 | 3 | 03/12/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dale George Konicek | 2220389 | 1 | 03/05/1999 | Customer Dispute | Settled | $290,000.00 | $0.00 | See FINRA Report |
| John Hartland McKeown | 2116798 | 2 | 03/04/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Ford Stoner | 6105538 | 1 | 03/01/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeromy Andrew Park | 4683760 | 1 | 02/21/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Stephen Matthews | 1279921 | 1 | 02/04/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Max Theisen Larsen | 1406283 | 3 | 02/01/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Gene Levy | 1089449 | 3 | 01/29/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Henry Hardy | 2109019 | 1 | 01/27/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |