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 Patrick Kelly | 6935051 | 1 | 08/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pamela Juliet Sams | 4446063 | 1 | 07/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roxanne Marie Jones | 2433541 | 9 | 07/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Ann Pratt | 5118234 | 12 | 07/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Ann Pratt | 5118234 | 12 | 07/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Ann Pratt | 5118234 | 12 | 06/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cody William Clay | 7071786 | 1 | 06/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Michael Perry | 5688484 | 1 | 06/06/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Laurence M Rothstein | 4591152 | 4 | 05/31/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip William Salleme | 3126170 | 1 | 05/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |