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 |
|---|---|---|---|---|---|---|---|---|
| Rebecca Jane Mikel | 4269892 | 1 | 03/10/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Peter Bobolia | 708592 | 3 | 02/14/1994 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Robert Edward Lyle | 1123428 | 1 | 02/11/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Antoine R Harris | 7154263 | 1 | 02/02/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nickolas Naum Betta | 1531184 | 1 | 02/01/1994 | Customer Dispute | Settled | $389,433.00 | $0.00 | See FINRA Report |
| Thomas Ralph Hokr | 1194034 | 2 | 01/31/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Paul Kratzer | 1183244 | 2 | 01/28/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marilyn M Kadis | 4680668 | 3 | 01/21/1994 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Raymond Burns | 1931312 | 2 | 01/10/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Bruce Lerner | 500447 | 2 | 01/04/1994 | Customer Dispute | Settled | $15,739.00 | $0.00 | See FINRA Report |