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 |
|---|---|---|---|---|---|---|---|---|
| Mark Richard Weibel | 1854206 | 1 | 04/23/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Micky W Poncsak | 3145956 | 2 | 04/07/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Richard Brown | 2510418 | 1 | 03/27/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Andrew Johnson | 1918189 | 2 | 03/18/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph M Matrise | 5887412 | 1 | 02/26/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Paul Martin | 1021864 | 5 | 02/05/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marilyn M Kadis | 4680668 | 3 | 02/02/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Clement Sherer | 1431750 | 1 | 01/30/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Gene McCowen | 1066218 | 1 | 01/24/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Delbert Mark Fellner | 2357961 | 4 | 01/15/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |