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 |
|---|---|---|---|---|---|---|---|---|
| John Edward Sandstrom | 1144542 | 4 | 08/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott William Blaney | 4112904 | 19 | 08/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Louis McGee | 7067393 | 1 | 08/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Allen McGlone | 4744764 | 2 | 08/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Richard Hill | 5476417 | 2 | 07/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raul L Lopez Morales | 2859381 | 1 | 07/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Ann Pratt | 5118234 | 12 | 07/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Ann Pratt | 5118234 | 12 | 07/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Ann Pratt | 5118234 | 12 | 06/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |