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 |
|---|---|---|---|---|---|---|---|---|
| Jacqueline P Bennett | 1302822 | 1 | 04/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward F Terranova | 6541243 | 1 | 04/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 03/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven B Sanders | 1852994 | 11 | 03/07/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Todd Cool | 2072560 | 2 | 01/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tomika B King | 4706748 | 1 | 01/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alex St. Peter Headley | 6729827 | 1 | 01/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Todd Cool | 2072560 | 2 | 01/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 12/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 12/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |