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 |
|---|---|---|---|---|---|---|---|---|
| Charles Duaine Arbeiter | 1315766 | 4 | 09/16/1994 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Scott Michael Siverhus | 2091427 | 1 | 09/16/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Peter Thomas | 721864 | 2 | 09/09/1994 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Kevin Paul Seegert | 1249177 | 2 | 09/08/1994 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Kevin Paul Seegert | 1249177 | 2 | 08/24/1994 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| James Victor Bogdan | 24817 | 1 | 08/23/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Theodore | 1023447 | 2 | 08/22/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kerry Elton Bolen | 733408 | 4 | 08/08/1994 | Customer Dispute | Settled | $46,369.00 | $0.00 | See FINRA Report |
| Steven Joseph Schmitz | 1432690 | 7 | 07/21/1994 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Stuart Halley Armstrong | 1444870 | 1 | 07/20/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |