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 |
|---|---|---|---|---|---|---|---|---|
| Michael Glen Hill | 3026108 | 6 | 09/03/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Julius Moeschlin | 1367634 | 3 | 08/31/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John M McLaughlin | 4249881 | 1 | 08/14/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Gregg Ellen | 1918119 | 7 | 06/28/1998 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Miles Leigh Ball | 1610124 | 1 | 06/23/1998 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Rose Limoges | 734263 | 3 | 06/19/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Gerard Tate | 1349111 | 1 | 06/03/1998 | Customer Dispute | Settled | $931,880.00 | $0.00 | See FINRA Report |
| Jeffery Tyrone McKinnon | 1037683 | 8 | 06/03/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Jay Tollin | 2661259 | 4 | 05/27/1998 | Customer Dispute | Award / Judgment | $408,382.00 | $15,459.20 | See FINRA Report |
| Lonny Ryan Bohling | 2756366 | 1 | 05/07/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |