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 |
|---|---|---|---|---|---|---|---|---|
| Jacob Douglas Mokry | 5467674 | 1 | 06/27/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Arnold Mandt | 5932367 | 3 | 06/22/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Orson Devore | 4351278 | 2 | 06/08/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Kenneth Bogdan | 4452073 | 1 | 05/31/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Toan Thanh Le | 5178298 | 3 | 11/29/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tae Chung Kim | 5637680 | 4 | 08/22/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Scott Killworth | 4586267 | 1 | 06/13/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lonny Lee Winters | 6011746 | 1 | 03/20/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Robert Joyce | 5593705 | 2 | 03/16/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Lee Martin | 4693015 | 2 | 01/09/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |