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 |
|---|---|---|---|---|---|---|---|---|
| Les Leroy Barber | 1256348 | 5 | 02/21/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Claire Fullmer | 1614906 | 4 | 02/21/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Samuel Cabot Clark | 2205783 | 3 | 02/21/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Geoffrey Lynn Newman | 5675041 | 2 | 02/08/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mahesh Desai | 2343125 | 1 | 12/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Donna Sherie Litty | 2645660 | 1 | 11/13/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daryl Kent Weeden | 1370485 | 1 | 10/09/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bruce David Hermann | 2399318 | 3 | 10/02/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| S. McLean Jones | 5226688 | 1 | 09/24/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Andrew Holloway | 4651126 | 1 | 08/13/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |