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 | 5 | 09/16/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Russell L Thompson | 6610312 | 3 | 08/12/2021 | Customer Dispute | Settled | $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 |
| Brian Dale Yarch | 4075003 | 5 | 07/30/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn Christian Everett | 4653270 | 2 | 10/29/2019 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Thomas Vincent Scotto | 6108385 | 1 | 10/18/2018 | Employment Separation After Allegations | $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 | |
| Gregory Peter Brick | 2842477 | 1 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Umbaugh | 4299073 | 3 | 11/18/2015 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |