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 |
|---|---|---|---|---|---|---|---|---|
| John Arnold Mandt | 5932367 | 3 | 11/09/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David James Kelly | 2142978 | 2 | 10/20/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Wayne Rothhammer | 713099 | 1 | 10/08/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Emiliano Alonso | 3044301 | 1 | 07/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Walter J Nencka | 5799265 | 1 | 06/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Andrew Passaro | 1574451 | 12 | 05/11/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lyle Nitsche | 1627975 | 1 | 05/08/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul James Pittman | 2570402 | 7 | 04/15/1992 | Criminal | Final Disposition | $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 |