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 |
|---|---|---|---|---|---|---|---|---|
| Harender Singh Arora | 1269664 | 4 | 02/24/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Allyn Sult | 1488583 | 1 | 02/09/1993 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| John Luther Potts | 836106 | 2 | 02/08/1993 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Randall Ken Hanson | 2155950 | 1 | 02/01/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brenda Lea Ferry | 4301728 | 1 | 12/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael F Piel | 1553610 | 1 | 12/10/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Franklin Walker | 1172857 | 2 | 11/30/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Arnold Mandt | 5932367 | 3 | 11/25/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Arnold Mandt | 5932367 | 3 | 11/09/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Matthew Rhoades | 1299513 | 3 | 11/03/1992 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |