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 |
|---|---|---|---|---|---|---|---|---|
| Brent Harold Rhoads | 2947147 | 1 | 04/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Terry Dean Hollar | 1584024 | 4 | 08/23/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lloyd Gibbens | 1482752 | 5 | 08/03/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lloyd Gibbens | 1482752 | 5 | 07/24/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lloyd Gibbens | 1482752 | 5 | 07/20/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lloyd Gibbens | 1482752 | 5 | 07/09/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jordan David Fischer | 6642451 | 1 | 02/07/2011 | Criminal | Final Disposition | $0.00 | $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 |