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 |
|---|---|---|---|---|---|---|---|---|
| Kathleen Helen Williams | 1014152 | 2 | 12/15/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Harvey Heil | 1699760 | 5 | 12/12/1995 | Customer Dispute | Settled | $1,050,000.00 | $0.00 | See FINRA Report |
| Todd Allen Werling | 2816649 | 1 | 11/04/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Timothy Mannello | 2362416 | 1 | 10/31/1995 | Customer Dispute | Settled | $41,695.00 | $0.00 | See FINRA Report |
| Kathleen Helen Williams | 1014152 | 2 | 10/30/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Roy Pond | 1404454 | 3 | 10/14/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bryan Smith | 3220092 | 1 | 10/12/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffery Tyrone McKinnon | 1037683 | 8 | 10/01/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Julian Adam Marturano | 2181208 | 5 | 09/26/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald E Wolf | 1047704 | 6 | 09/22/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |