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 |
|---|---|---|---|---|---|---|---|---|
| Cabell Brooking Birdsong | 21850 | 6 | 01/09/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Stuart Hammond | 1422542 | 1 | 01/05/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Darryl Storm | 5285065 | 2 | 01/05/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Joseph Arburn | 1475817 | 2 | 12/16/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert John Patrick | 857327 | 2 | 10/20/1988 | Customer Dispute | Settled | $136,000.00 | $0.00 | See FINRA Report |
| Charles Wilkes Smith | 427158 | 9 | 10/18/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerard Patrick Ryan | 1282929 | 2 | 07/21/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harender Singh Arora | 1269664 | 4 | 05/18/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Paul Gregory | 1426285 | 2 | 04/27/1988 | Customer Dispute | Settled | $114,000.00 | $0.00 | See FINRA Report |
| David Lee Goodrich | 2948453 | 4 | 04/11/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |