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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Francis Haines | 1098367 | 1 | 10/21/1993 | Customer Dispute | Settled | $16,819.00 | $0.00 | See FINRA Report |
| Warren Harry Goldberg | 726687 | 8 | 10/21/1993 | Customer Dispute | Settled | $47,544.00 | $0.00 | See FINRA Report |
| Warren Harry Goldberg | 726687 | 8 | 10/21/1993 | Customer Dispute | Settled | $10,315.00 | $0.00 | See FINRA Report |
| Warren Harry Goldberg | 726687 | 8 | 10/21/1993 | Customer Dispute | Settled | $36,739.00 | $0.00 | See FINRA Report |
| Warren Harry Goldberg | 726687 | 8 | 10/21/1993 | Customer Dispute | Settled | $12,671.00 | $0.00 | See FINRA Report |
| Warren Harry Goldberg | 726687 | 8 | 10/21/1993 | Customer Dispute | Settled | $18,955.00 | $0.00 | See FINRA Report |
| Warren Harry Goldberg | 726687 | 8 | 10/21/1993 | Customer Dispute | Settled | $8,723.00 | $0.00 | See FINRA Report |
| Warren Harry Goldberg | 726687 | 8 | 10/21/1993 | Customer Dispute | Settled | $69,037.00 | $0.00 | See FINRA Report |
| Warren Harry Goldberg | 726687 | 8 | 10/21/1993 | Customer Dispute | Settled | $5,011.00 | $0.00 | See FINRA Report |
| Charles Wilkes Smith | 427158 | 9 | 10/21/1993 | Customer Dispute | Settled | $20,759.00 | $0.00 | See FINRA Report |