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 |
|---|---|---|---|---|---|---|---|---|
| Roger Antony Sexter | 859088 | 2 | 07/02/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walter J Nencka | 5799265 | 1 | 06/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Anthony Eno | 1209077 | 4 | 06/02/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Andrew Passaro | 1574451 | 12 | 05/11/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lyle Nitsche | 1627975 | 1 | 05/08/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Frank Cerwin | 1008485 | 4 | 05/01/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul James Pittman | 2570402 | 7 | 04/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harry Hoover Horning | 250313 | 3 | 04/14/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Wilkes Smith | 427158 | 9 | 04/03/1992 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Roger Antony Sexter | 859088 | 2 | 04/02/1992 | Customer Dispute | Award / Judgment | $75,000.00 | $45,500.00 | See FINRA Report |