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 |
|---|---|---|---|---|---|---|---|---|
| Kendall Melvin Klaus | 1270347 | 1 | 03/03/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Carroll | 1204110 | 1 | 03/01/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Carlos Lacey | 4312702 | 3 | 02/07/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Carol Swinehart | 1794087 | 1 | 02/06/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason R Rasmussen | 6074487 | 6 | 11/29/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay J Adams | 2799510 | 5 | 11/09/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Reuel Kramer | 1465416 | 12 | 10/03/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Reuel Kramer | 1465416 | 12 | 09/21/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| J Graydon Coghlan | 2281065 | 3 | 09/01/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Reuel Kramer | 1465416 | 12 | 07/28/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |