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 |
|---|---|---|---|---|---|---|---|---|
| Alfred Lee Dingler | 2482659 | 1 | 05/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Russell L Thompson | 6610312 | 3 | 10/19/2020 | Customer Dispute | Denied | $0.00 | $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 |
| 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 |
| William Lewis Bowman | 1042545 | 3 | 03/15/2005 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Ranjan Jagetia | 2352338 | 1 | 12/02/2002 | Customer Dispute | Denied | $10,266.00 | $0.00 | See FINRA Report |
| Joel David Heinlein | 2859885 | 1 | 09/07/2001 | Customer Dispute | Denied | $19,112.30 | $0.00 | See FINRA Report |