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 |
|---|---|---|---|---|---|---|---|---|
| Alfonso J Cumplido | 5844854 | 2 | 05/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hyunseo Koo | 5097783 | 1 | 03/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roxanne Marie Jones | 2433541 | 9 | 03/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Joan Pegues | 2966192 | 1 | 03/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Giuseppe Camaioni | 3049577 | 1 | 03/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Casey Pare | 6370602 | 1 | 03/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Kister Barre | 2222071 | 1 | 03/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Autumn Duquette | 6583202 | 1 | 03/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary K Setter | 5838902 | 2 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Martin Surace | 2245712 | 2 | 02/14/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |