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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Dorian Morgan Dyckman | 5653349 | 3 | 05/25/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John James Goulooze | 4491551 | 1 | 05/06/2016 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Umbaugh | 4299073 | 3 | 11/18/2015 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Richard Reim | 1303142 | 1 | 11/02/2009 | Customer Dispute | Settled | $40,443.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Umbaugh | 4299073 | 3 | 10/23/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Russell Alan Smith | 1124019 | 1 | 08/11/2009 | Customer Dispute | Denied | $39,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Umbaugh | 4299073 | 3 | 03/12/2009 | Customer Dispute | Withdrawn | $17,000.00 | $0.00 | See FINRA Report |
| Heriberto de Leon | 2039418 | 1 | 12/11/2008 | Customer Dispute | Award / Judgment | $0.00 | $40,000.00 | See FINRA Report |