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 |
|---|---|---|---|---|---|---|---|---|
| Raymond K Bramer | 28691 | 2 | 07/28/1993 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Robert Paul Lockwood | 736593 | 2 | 07/27/1993 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Allen Lee Kishbaugh | 1928535 | 1 | 07/01/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Frank Cerwin | 1008485 | 4 | 04/27/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ross Lee Jeter | 1339374 | 3 | 04/22/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Sterling Mitchell | 1175704 | 3 | 04/07/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Eugene Baxter | 828637 | 2 | 03/18/1993 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Donald Eugene Baxter | 828637 | 2 | 03/18/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Franklin Walker | 1172857 | 2 | 03/18/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Duane Douglass | 1619835 | 7 | 03/15/1993 | Customer Dispute | Award / Judgment | $5,023.25 | $3,000.00 | See FINRA Report |