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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Robert Bregen | 2380377 | 1 | 01/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Gordon Tegtmeier-Hedinger | 4042452 | 2 | 10/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 08/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Enrique Felix Cotto | 5475364 | 1 | 06/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Justin David Bastian | 5083347 | 1 | 03/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kaffie Danielle Latson | 4211064 | 1 | 01/22/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Carrie Lynn Anton | 4839580 | 1 | 12/22/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dallas Lee Register | 4959278 | 1 | 10/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Brown | 4214896 | 16 | 10/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregg Andrew Ragule | 1548185 | 4 | 07/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |