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 |
|---|---|---|---|---|---|---|---|---|
| Gregory S Pang | 2465163 | 3 | 11/18/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kent Edward Bowman | 1244354 | 8 | 11/10/1998 | Customer Dispute | Settled | $21,777.00 | $0.00 | See FINRA Report |
| Rolf Albert Trautsch | 1219010 | 1 | 10/20/1998 | Customer Dispute | Settled | $73,725.70 | $0.00 | See FINRA Report |
| Richard Vernon Pinto | 4064269 | 4 | 10/13/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory S Pang | 2465163 | 3 | 10/10/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Ardavast Kudarauskas | 2070671 | 4 | 10/08/1998 | Customer Dispute | Settled | $88,475.00 | $0.00 | See FINRA Report |
| Toan Thanh Le | 5178298 | 3 | 09/21/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Morris Friedman | 807233 | 5 | 09/15/1998 | Customer Dispute | Settled | $295,000.00 | $0.00 | See FINRA Report |
| Anoput Phimmasone | 1837043 | 7 | 09/11/1998 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Paulette Conners Auclair | 2688629 | 2 | 09/09/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |