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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Dorian Morgan Dyckman | 5653349 | 3 | 09/09/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Russell L Thompson | 6610312 | 4 | 07/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dorian Morgan Dyckman | 5653349 | 3 | 02/03/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lloyd Gibbens | 1482752 | 5 | 12/23/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard John Griswold | 2221680 | 1 | 08/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Anthony Tews | 2558272 | 1 | 01/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Russell L Thompson | 6610312 | 4 | 10/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |