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 |
|---|---|---|---|---|---|---|---|---|
| Timothy James Buege | 6459493 | 1 | 04/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn E Contento | 4420785 | 2 | 03/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn E Contento | 4420785 | 2 | 03/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Russillo | 2375684 | 4 | 03/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Russillo | 2375684 | 4 | 03/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Russillo | 2375684 | 4 | 03/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Austin Holtan | 2410936 | 1 | 03/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 02/27/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Adams | 4956523 | 1 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dari Dariush Rachedi | 1916745 | 1 | 02/12/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |