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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Renee Thorngate Kennedy | 1231912 | 1 | 07/05/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Harold Hern | 2506601 | 1 | 03/25/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Joseph Weiner | 2036866 | 2 | 12/23/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven James Nida | 4803028 | 3 | 12/20/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Osmar Joseph Tavares | 4056396 | 2 | 12/03/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Glen Allen Maleri | 2078797 | 2 | 11/18/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Quinton Woeppel | 5316574 | 2 | 07/31/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Rowland Meyer | 4326838 | 2 | 05/26/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Glenn Michael Wake | 1015252 | 2 | 03/28/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Austin Bennett | 4387226 | 1 | 01/10/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |