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 |
|---|---|---|---|---|---|---|---|---|
| Glenn Michael Wake | 1015252 | 2 | 03/28/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Austin Bennett | 4387226 | 1 | 01/10/1989 | Criminal | Final Disposition | $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 |
| Gerard Patrick Ryan | 1282929 | 2 | 07/21/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Lee Goodrich | 2948453 | 4 | 04/11/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Luke Wholehan | 1213340 | 1 | 11/11/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Burns Muench | 2345704 | 1 | 09/21/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victor Joseph Mastrella | 5060308 | 1 | 05/10/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Paul Lozano | 4562969 | 1 | 04/01/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |