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 |
|---|---|---|---|---|---|---|---|---|
| Gilbert Castillo | 4215975 | 2 | 06/15/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Frederic Arutt | 1335916 | 3 | 05/31/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Allan Rossi | 405339 | 1 | 05/01/1991 | Customer Dispute | Settled | $335,000.00 | $0.00 | See FINRA Report |
| Richard Peckham Angell | 1280103 | 1 | 04/08/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul James Pittman | 2570402 | 7 | 04/03/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul James Pittman | 2570402 | 7 | 04/03/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Bruce Utter | 600105 | 5 | 04/02/1991 | Customer Dispute | Settled | $58,850.00 | $0.00 | See FINRA Report |
| Jason Moore Giordano | 3091792 | 2 | 03/16/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gloria Helen Homans | 868164 | 2 | 02/27/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Drew Scott Marloe | 1063437 | 1 | 02/15/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |