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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Patrick Lehman | 2019289 | 3 | 06/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Robert Bregen | 2380377 | 1 | 01/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Gordon Tegtmeier-Hedinger | 4042452 | 2 | 10/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 08/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha Jill Lompado | 5893501 | 1 | 08/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jagruti D Panwala | 3108690 | 1 | 08/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Enrique Felix Cotto | 5475364 | 1 | 06/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Justin David Bastian | 5083347 | 1 | 03/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dallas Lee Register | 4959278 | 1 | 10/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 10/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |