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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Todd Wegener | 1592102 | 2 | 04/30/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Clifford Becker | 4635972 | 1 | 04/12/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elisabeth Hickox | 1542335 | 3 | 03/07/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Lockwood | 736593 | 2 | 11/25/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elisabeth Hickox | 1542335 | 3 | 10/15/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Harold Judson | 709195 | 4 | 07/15/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kelly Joe Goodburn | 2838694 | 1 | 07/01/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carole Ameila Rainey | 1391189 | 1 | 06/01/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Edward Spriggs | 1616617 | 2 | 05/22/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gaspar F de La Cruz | 5013924 | 1 | 04/22/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |