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 |
|---|---|---|---|---|---|---|---|---|
| Glen Allen Maleri | 2078797 | 2 | 11/18/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Costello | 1242871 | 4 | 10/19/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Louis Anthony Ryniec | 408471 | 1 | 10/10/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Edward Mednick | 2700777 | 2 | 10/01/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John William Kelly | 1025196 | 2 | 08/31/1989 | Customer Dispute | Settled | $47,500.00 | $0.00 | See FINRA Report |
| Quinton Woeppel | 5316574 | 2 | 07/31/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Rowland Meyer | 4326838 | 2 | 05/26/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Monfils Upson | 1241673 | 2 | 04/27/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glenn Michael Wake | 1015252 | 2 | 03/28/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Austin Bennett | 4387226 | 1 | 01/10/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |