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 |
|---|---|---|---|---|---|---|---|---|
| James Rodney Keith Hardy | 703068 | 1 | 03/30/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Henry Chitwood | 2083895 | 3 | 03/16/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jody John Otto | 1587943 | 1 | 03/05/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kristian Thomas Zurinsky | 4142416 | 2 | 01/27/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Joel Schmidt | 5072826 | 1 | 01/23/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vivian Jannette Medina | 3178213 | 1 | 01/21/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Teresa Louise Wietzikoski | 2377858 | 1 | 01/19/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Julius Frederick Brauner | 706699 | 1 | 11/18/1991 | Customer Dispute | Award / Judgment | $80,000.00 | $42,811.00 | See FINRA Report |
| Gary James Najarian | 1693119 | 2 | 11/01/1991 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Michael John Klimis | 861696 | 1 | 10/15/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |