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 Wilkes Smith | 427158 | 9 | 10/21/1993 | Customer Dispute | Settled | $11,300.00 | $0.00 | See FINRA Report |
| Charles Wilkes Smith | 427158 | 9 | 10/21/1993 | Customer Dispute | Settled | $73,963.00 | $0.00 | See FINRA Report |
| Charles Wilkes Smith | 427158 | 9 | 10/21/1993 | Customer Dispute | Settled | $11,868.00 | $0.00 | See FINRA Report |
| Kenneth Edward Guard | 1055460 | 4 | 10/20/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John A Kendall | 863374 | 3 | 10/18/1993 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| John Harvey Heil | 1699760 | 5 | 10/15/1993 | Customer Dispute | Award / Judgment | $400,000.00 | $300,000.00 | See FINRA Report |
| Kenneth Richard Gula | 1662544 | 6 | 09/24/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Danko | 2176237 | 1 | 09/17/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harender Singh Arora | 1269664 | 4 | 09/09/1993 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| William Kermit Hall | 1239549 | 2 | 07/30/1993 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |