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 |
|---|---|---|---|---|---|---|---|---|
| William Hunter Hickam | 2514046 | 3 | 09/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Hunter Hickam | 2514046 | 3 | 09/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Hunter Hickam | 2514046 | 3 | 09/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven James Hill | 6491600 | 1 | 09/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Ahmad Afzal | 3226532 | 8 | 09/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francisco Jose Tort | 4972742 | 2 | 08/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gloria Marie Koester | 2749527 | 1 | 08/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cory Matthew Larmour | 7203418 | 4 | 08/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laurence M Rothstein | 4591152 | 4 | 08/05/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher J Calandra | 2253639 | 3 | 08/02/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |