Our Staff has compiled our research into a database of FINRA Broker Disclosures for Regulus Financial Group, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Brian Dale Yarch | 4075003 | 4 | 05/12/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Dale Yarch | 4075003 | 4 | 01/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Anthony Kailunas | 2048289 | 3 | 09/16/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Dale Yarch | 4075003 | 4 | 09/16/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Russell L Thompson | 6610312 | 4 | 08/12/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Russell L Thompson | 6610312 | 4 | 10/19/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Dale Yarch | 4075003 | 4 | 07/30/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sidney Joseph Dufresne | 2471091 | 3 | 10/09/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sidney Joseph Dufresne | 2471091 | 3 | 08/15/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Herbert Robert Franco | 5575090 | 1 | 09/06/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |