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 |
|---|---|---|---|---|---|---|---|---|
| Georgianna Michelle Grimm | 3102183 | 3 | 03/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kaffie Danielle Latson | 4211064 | 1 | 01/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael D Vogt | 4425732 | 5 | 01/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Lynn Anton | 4839580 | 1 | 12/22/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Georgianna Michelle Grimm | 3102183 | 3 | 11/01/2020 | Financial | Final | $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 |
| William James Bassow | 1293561 | 7 | 10/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William James Bassow | 1293561 | 7 | 10/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Suzanne Vega | 7349890 | 1 | 09/29/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |