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 |
|---|---|---|---|---|---|---|---|---|
| David James Kelly | 2142978 | 2 | 01/27/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul James Pittman | 2570402 | 7 | 01/27/1999 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| James Joseph McMonigle | 712454 | 3 | 01/07/1999 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Davis | 2165596 | 4 | 12/22/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Kay Springer | 1399186 | 5 | 12/21/1998 | Customer Dispute | Denied | $18,500.00 | $0.00 | See FINRA Report |
| Jeffrey Gene Levy | 1089449 | 3 | 12/11/1998 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Matthew Aaron Newman | 2696585 | 2 | 12/01/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Michael Kover | 1854836 | 1 | 11/30/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jimmy J Suh | 2264741 | 1 | 11/23/1998 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Carla E Teehan | 2220145 | 1 | 11/20/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |