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 |
|---|---|---|---|---|---|---|---|---|
| Francis J Labelle | 2141981 | 1 | 02/01/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Brereton | 2846341 | 1 | 01/28/1998 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| James P Kelley | 1694993 | 7 | 01/05/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Elizabeth Ann Kelley | 2386900 | 5 | 01/05/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Edward Berube | 2494812 | 1 | 01/02/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Leon Koski | 1916547 | 2 | 12/27/1997 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Neil Gerard Damato | 1594844 | 1 | 12/10/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Charles Enders | 1067700 | 5 | 12/01/1997 | Customer Dispute | Settled | $5,977.13 | $0.00 | See FINRA Report |
| Peter Andrew Johnson | 1918189 | 2 | 11/24/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Benedicto Canlas Santiago | 4665746 | 1 | 11/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |