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 |
|---|---|---|---|---|---|---|---|---|
| Catherine Coffin Cawood | 4018381 | 1 | 01/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robin Marie Widmer | 3222327 | 1 | 12/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darren William Kreitz | 2980694 | 1 | 12/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Howard Palmer | 1037871 | 1 | 12/15/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth A Brown | 5028444 | 2 | 12/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Cerra Vawter | 5199821 | 1 | 12/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Michael Moore | 873685 | 3 | 12/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Jason Herzog | 2451207 | 5 | 11/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Gerald Swartley | 5659365 | 1 | 11/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 10/17/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |