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 |
|---|---|---|---|---|---|---|---|---|
| Kent Edward Bowman | 1244354 | 8 | 11/01/1990 | Customer Dispute | Award / Judgment | $125,000.00 | $36,837.50 | See FINRA Report |
| Wade Norman Roberts | 2252311 | 2 | 10/08/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barbara Lynn Stetzko | 2499277 | 1 | 08/24/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Moore Giordano | 3091792 | 2 | 08/17/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin M Brown | 2583645 | 1 | 07/08/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa Renee Thorngate Kennedy | 1231912 | 1 | 07/05/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth James Cappelli | 2504165 | 2 | 06/15/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harender Singh Arora | 1269664 | 4 | 06/01/1990 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Robert Steven Gold | 1384170 | 3 | 05/19/1990 | Customer Dispute | Award / Judgment | $6,000.00 | $1,789.00 | See FINRA Report |
| John Sidney Roberts | 1084544 | 1 | 05/01/1990 | Customer Dispute | Award / Judgment | $25,637.10 | $146,518.00 | See FINRA Report |