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 Allen McGlone | 4744764 | 2 | 12/15/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Greg Alan Schroeder | 2481557 | 1 | 11/21/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gerald James Rocheleau | 6125082 | 1 | 11/08/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Martinez | 5787568 | 2 | 10/25/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronnie D Spence | 4407242 | 1 | 09/12/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Swan Sihua Shen | 3036612 | 7 | 08/31/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christian Uche Chukwuma | 5672307 | 1 | 06/18/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Les Hunzinger | 2274146 | 2 | 05/14/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Harvey Heil | 1699760 | 5 | 04/12/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian D Albers | 2635963 | 1 | 04/05/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |