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 |
|---|---|---|---|---|---|---|---|---|
| Glen Allen Clemans | 1618828 | 2 | 08/27/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glenn Michael Wake | 1015252 | 2 | 08/26/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Gerald Lampe | 828400 | 4 | 08/12/1997 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Lanny Keith Marks | 1465731 | 1 | 08/01/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Vinciguerra | 2010577 | 1 | 07/22/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Lee Martin | 4693015 | 2 | 07/22/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Micky W Poncsak | 3145956 | 2 | 07/14/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Abraham Witte | 811358 | 4 | 07/11/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Randal Seal | 2023919 | 3 | 05/22/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Adrien Brule | 1146079 | 8 | 04/29/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |