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 |
|---|---|---|---|---|---|---|---|---|
| James Dennis Spangler | 2208575 | 1 | 11/03/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Christopher Liebelt | 1164152 | 3 | 09/12/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jennifer Lynn Scroggins | 2343868 | 2 | 07/02/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| June Yuejiao Wang Chin | 2609596 | 1 | 07/01/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul Leo Stanley | 433640 | 3 | 06/05/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Craig Smith Senn | 866245 | 5 | 12/19/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arnold Samuel | 4278592 | 3 | 10/14/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Johnny Michael Lavigne | 2765561 | 3 | 08/21/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Calvin Seaborn Sumner | 713266 | 6 | 07/09/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lester Joseph Tadej | 714914 | 1 | 07/08/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |