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 |
|---|---|---|---|---|---|---|---|---|
| Terrence Murphy Tormey | 1572890 | 1 | 11/18/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Wayne Stremick | 2737392 | 4 | 11/07/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Stephen Radler | 830977 | 2 | 11/01/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Neil Goldberg | 2647054 | 5 | 10/07/1997 | Customer Dispute | Denied | $38,135.00 | $0.00 | See FINRA Report |
| Rochana Norby | 1790025 | 1 | 10/02/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Jay Rosenberg | 1125246 | 1 | 09/29/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Rajvinder Singh Budwal | 2418007 | 2 | 09/22/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Dollins | 2102530 | 1 | 09/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Paul Mamula | 2201525 | 3 | 09/02/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Randal Seal | 2023919 | 3 | 08/28/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |