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 |
|---|---|---|---|---|---|---|---|---|
| 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| Jeffrey Alan Umbaugh | 4299073 | 3 | 03/12/2009 | Customer Dispute | Withdrawn | $17,000.00 | $0.00 | See FINRA Report |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 |
| Scott Phillip Hanson | 4976517 | 1 | 06/20/2008 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| John Anthony Kailunas | 2048289 | 3 | 11/15/2006 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| William Lewis Bowman | 1042545 | 3 | 02/13/2006 | Customer Dispute | Denied | $5,603.00 | $0.00 | See FINRA Report |
| Terry Dean Hollar | 1584024 | 4 | 11/28/2005 | Customer Dispute | Closed-No Action | $3,591.80 | $0.00 | See FINRA Report |
| Terry Dean Hollar | 1584024 | 4 | 11/10/2005 | Customer Dispute | Closed-No Action | $21,801.80 | $0.00 | See FINRA Report |