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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Joseph Arburn | 1475817 | 2 | 02/16/1988 | Customer Dispute | Award / Judgment | $28,000.00 | $15,591.30 | See FINRA Report |
| David Bruce Utter | 600105 | 5 | 12/16/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Allen Mecklenburg | 726227 | 4 | 11/17/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Luke Wholehan | 1213340 | 1 | 11/11/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Dubois | 1468923 | 4 | 11/10/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert William Kasten | 1009160 | 6 | 10/20/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Burns Muench | 2345704 | 1 | 09/21/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Matthew Rhoades | 1299513 | 3 | 08/13/1987 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Victor Joseph Mastrella | 5060308 | 1 | 05/10/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Paul Lozano | 4562969 | 1 | 04/01/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |