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 |
|---|---|---|---|---|---|---|---|---|
| Steven George Rothschild | 3003654 | 1 | 05/21/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Allen Mosel | 2439053 | 1 | 05/01/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Lee Cowguill | 1275601 | 1 | 03/28/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Luke Jay Buehler | 1540406 | 1 | 02/09/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John William Kelly | 1025196 | 2 | 12/01/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ross Alan Lyle | 712715 | 3 | 11/25/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karla V Jarvis | 4364592 | 1 | 10/01/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Thomas Blunk | 2011245 | 7 | 09/29/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Javier Diaz Perez | 1197666 | 1 | 08/02/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Marshall Grice | 1628112 | 2 | 06/14/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |