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 |
|---|---|---|---|---|---|---|---|---|
| Richard Vernon Pinto | 4064269 | 4 | 10/13/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Toan Thanh Le | 5178298 | 3 | 09/21/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John M McLaughlin | 4249881 | 1 | 08/14/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Esther Yong Jones | 5892841 | 2 | 05/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Esther Yong Jones | 5892841 | 2 | 03/11/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Johnson | 5016574 | 1 | 02/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benedicto Canlas Santiago | 4665746 | 1 | 11/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Dollins | 2102530 | 1 | 09/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Lee Martin | 4693015 | 2 | 07/22/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph M Matrise | 5887412 | 1 | 02/26/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |