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 |
|---|---|---|---|---|---|---|---|---|
| Gerald E Wolf | 1047704 | 6 | 09/20/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald E Wolf | 1047704 | 6 | 09/18/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Francis P Gallagher | 2254783 | 4 | 09/07/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hoa Sandra Ngo Truong | 2056132 | 1 | 09/01/1995 | Customer Dispute | Settled | $31,213.30 | $0.00 | See FINRA Report |
| Bronson Elmo Hindman | 4685865 | 1 | 08/27/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip Alan Hartwell | 1170622 | 2 | 07/19/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Curtis Broom | 1016658 | 4 | 07/11/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Curtis Ray Levalley | 1351160 | 2 | 07/06/1995 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Gerald E Wolf | 1047704 | 6 | 06/29/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anoput Phimmasone | 1837043 | 7 | 06/23/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |