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 |
|---|---|---|---|---|---|---|---|---|
| Diana M Leon | 4857407 | 1 | 04/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arben Kupi | 4357815 | 1 | 02/03/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Brian Marks | 1785135 | 1 | 11/20/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Joseph Smegielski | 5825198 | 1 | 10/27/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Fernando A Pohina | 5624328 | 4 | 09/15/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Todd C Williams | 5509257 | 1 | 07/17/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Curtis Broom | 1016658 | 4 | 05/08/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Raymond Talbot | 2324136 | 2 | 03/12/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Milton Dennis Flanagan | 4218649 | 3 | 01/16/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jim D Duncan | 1416650 | 1 | 01/03/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |