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 |
|---|---|---|---|---|---|---|---|---|
| Toan Thanh Le | 5178298 | 3 | 05/04/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Thomas Curry | 5787848 | 1 | 03/10/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francis Albert Lieberum | 4537120 | 1 | 12/10/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Jack Lemke | 7508137 | 1 | 10/19/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerrit Latchford | 6726562 | 1 | 10/10/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tyler Nicholas Broek | 6269078 | 1 | 08/09/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erik W Glushien | 4790160 | 1 | 06/22/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Michael Pott | 5611609 | 1 | 01/20/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Ira Bell | 6521125 | 1 | 06/03/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kate Makiye Okusa | 5312078 | 1 | 05/11/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |