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 |
|---|---|---|---|---|---|---|---|---|
| James E. Armstrong | 4517907 | 1 | 12/04/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 10/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Austin Lee Maschino | 2934617 | 2 | 10/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 09/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Meredith Baker Freeman | 4418577 | 1 | 07/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raul L Lopez Morales | 2859381 | 1 | 07/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Richard Hill | 5476417 | 1 | 07/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Ernest Spriggs | 1271387 | 1 | 06/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 05/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |