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 |
|---|---|---|---|---|---|---|---|---|
| William Edward Spriggs | 1616617 | 2 | 05/22/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gaspar F de La Cruz | 5013924 | 1 | 04/22/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy L Johnson | 4887261 | 3 | 03/26/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Davey Owens | 1324633 | 5 | 01/18/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Davey Owens | 1324633 | 5 | 11/30/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael John Thode | 3178148 | 1 | 11/20/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Davey Owens | 1324633 | 5 | 10/20/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Larry Watkins | 7440273 | 2 | 10/07/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael James Fischer | 1812139 | 2 | 08/08/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Pamela Jean Floyd | 2333381 | 3 | 06/01/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |