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 |
|---|---|---|---|---|---|---|---|---|
| David Chou | 5536004 | 2 | 01/13/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacqueline P Bennett | 1302822 | 1 | 04/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven B Sanders | 1852994 | 14 | 03/07/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James E Armstrong | 4517907 | 1 | 12/04/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Justin Lawes | 4675482 | 1 | 10/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Erik Joseph Oleary | 3174893 | 3 | 09/07/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Richard Hill | 5476417 | 2 | 07/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raul L Lopez Morales | 2859381 | 1 | 07/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rustan Cooley Thayer | 5139029 | 1 | 05/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Amie Elizabeth Fielder | 5135892 | 2 | 10/05/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |