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 |
|---|---|---|---|---|---|---|---|---|
| Rose M Dreiling | 2559463 | 2 | 02/23/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Charles Kochan | 1622084 | 1 | 02/11/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Alva Foster | 2771184 | 3 | 01/31/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Jeffrey Spivack | 1746929 | 1 | 01/10/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Robert Bregen | 2380377 | 1 | 01/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael D Vogt | 4425732 | 5 | 10/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Rudy McKnight | 1967680 | 1 | 10/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Gordon Tegtmeier-Hedinger | 4042452 | 1 | 10/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Lee | 4241734 | 2 | 08/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Lee | 4241734 | 2 | 08/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |