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 |
|---|---|---|---|---|---|---|---|---|
| Robert Brian Johnson | 1883187 | 1 | 09/05/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harry Hoover Horning | 250313 | 3 | 08/22/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Oneal Davis | 2738222 | 1 | 08/09/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Edens | 1690695 | 4 | 08/09/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Hilditch | 1461335 | 3 | 08/07/1996 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Ronald George Pray | 713509 | 2 | 07/01/1996 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Jeffrey Bruce Shull | 1304702 | 2 | 07/01/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carl Leigh Richardson | 2079346 | 1 | 05/13/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy John Namisnak | 2316549 | 1 | 04/18/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mary Rose Limoges | 734263 | 3 | 04/16/1996 | Civil | Final | $0.00 | $0.00 | See FINRA Report |