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 |
|---|---|---|---|---|---|---|---|---|
| David Bruce Utter | 600105 | 5 | 10/30/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christine Ann Hatch | 1170185 | 2 | 10/30/1992 | Customer Dispute | Settled | $148,000.00 | $0.00 | See FINRA Report |
| David James Kelly | 2142978 | 2 | 10/20/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Wayne Rothhammer | 713099 | 1 | 10/08/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert David Rivoli | 1830391 | 2 | 09/15/1992 | Customer Dispute | Award / Judgment | $6,260.00 | $5,150.00 | See FINRA Report |
| Philip Robert Hedrick | 1061047 | 3 | 09/01/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ross Lee Jeter | 1339374 | 3 | 08/27/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dean Gregory Ringdahl | 1080956 | 2 | 08/21/1992 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| John Albert House | 1238482 | 1 | 08/19/1992 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Emiliano Alonso | 3044301 | 1 | 07/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |