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 |
|---|---|---|---|---|---|---|---|---|
| Esther Yong Jones | 5892841 | 2 | 05/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Andrew Knierim | 2821017 | 2 | 04/17/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James P Kelley | 1694993 | 7 | 04/16/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Elizabeth Ann Kelley | 2386900 | 5 | 04/16/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daron Edward McMillan | 2469565 | 1 | 04/07/1998 | Customer Dispute | Settled | $15,159.00 | $0.00 | See FINRA Report |
| Esther Yong Jones | 5892841 | 2 | 03/11/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Ardavast Kudarauskas | 2070671 | 4 | 03/03/1998 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Michael Barry Wolff | 1213384 | 1 | 02/28/1998 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Robert Kelvin Springer | 869402 | 2 | 02/18/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Johnson | 5016574 | 1 | 02/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |