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 | 06/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Edens | 1690695 | 4 | 06/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Nicole McGrath | 2879132 | 1 | 06/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Ernest Spriggs | 1271387 | 1 | 06/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristi Lee Reynolds | 4299230 | 2 | 05/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cristopher Chase Gossett | 6707805 | 1 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David A Bonn | 4667443 | 1 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rustan Cooley Thayer | 5139029 | 1 | 05/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 05/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Calvin Seaborn Sumner | 713266 | 6 | 05/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |