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 |
|---|---|---|---|---|---|---|---|---|
| Lee Reuel Kramer | 1465416 | 12 | 11/10/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce David Hermann | 2399318 | 3 | 02/13/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Jason Chapman | 2439743 | 2 | 12/18/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stanley John Filimon | 2124630 | 1 | 07/07/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Rachelle Hansen | 2189218 | 5 | 04/28/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Andrew Knierim | 2821017 | 2 | 03/13/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Craig William Surprise | 4321571 | 3 | 02/15/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Robert Veater | 1482361 | 7 | 02/01/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Michael Cooney | 1326757 | 1 | 11/08/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip James Demaar | 1128826 | 1 | 10/01/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |