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 |
|---|---|---|---|---|---|---|---|---|
| Paul Lewis Corley | 54277 | 1 | 07/18/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Michael Nangle | 6240984 | 2 | 05/11/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Michael Nangle | 6240984 | 2 | 05/10/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francis William McRoberts | 812207 | 1 | 05/01/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Todd Wegener | 1592102 | 2 | 04/30/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Clifford Becker | 4635972 | 1 | 04/12/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elisabeth Hickox | 1542335 | 3 | 03/07/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Edward Guard | 1055460 | 4 | 12/13/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Lockwood | 736593 | 2 | 11/25/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Eugene Newsholme | 1182213 | 1 | 10/18/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |