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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly A Cavaliere | 4607964 | 1 | 01/04/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Klosterman | 2023292 | 2 | 12/06/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Joseph Weiss | 462400 | 2 | 12/04/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jay Michael Ovsak | 2094974 | 1 | 11/22/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Bert Tucker | 2162015 | 3 | 11/04/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Lloyd Anderson | 1577547 | 2 | 10/09/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Francis P Gallagher | 2254783 | 4 | 10/08/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harry Hoover Horning | 250313 | 3 | 10/07/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffery Tyrone McKinnon | 1037683 | 8 | 10/01/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kent Warren Miller | 805030 | 3 | 09/20/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |