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 |
|---|---|---|---|---|---|---|---|---|
| Robert John Morales | 2122181 | 1 | 07/04/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Keith Perley | 1158302 | 1 | 07/01/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Mitchell | 1729851 | 1 | 04/10/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl Michael Kozlowski | 1025410 | 1 | 01/03/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard John Norby | 3151417 | 1 | 11/29/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allen Steven Zimmerman | 2548112 | 1 | 09/06/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Moore Whaley | 2289944 | 1 | 08/11/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Oscar Antonio Varona | 3128460 | 1 | 05/27/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Mastrosimone | 1056565 | 3 | 05/03/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arthur Dell Eggman | 3159634 | 2 | 04/01/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |