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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth James Cappelli | 2504165 | 2 | 02/11/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Charles Marshall | 4767380 | 2 | 02/11/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Bruce Utter | 600105 | 5 | 01/17/1991 | Customer Dispute | Award / Judgment | $2,500,000.00 | $1,496,920.00 | See FINRA Report |
| Jeffrey Key Golson | 1457878 | 1 | 01/16/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Gordon Graham | 1173717 | 1 | 01/16/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Harold Judson | 709195 | 4 | 01/15/1991 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Frederick Allen Mecklenburg | 726227 | 4 | 01/01/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Bruce Utter | 600105 | 5 | 12/28/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kirk Wolf | 2367568 | 1 | 12/01/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Frederic Arutt | 1335916 | 3 | 11/28/1990 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |