Our Staff has compiled our research into a database of FINRA Broker Disclosures for Register Financial Associates, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Hafeez S Fazal | 5480759 | 1 | 10/17/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robin Marie Leahy | 1512451 | 1 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard P Perano | 1031645 | 5 | 01/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard P Perano | 1031645 | 5 | 06/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard P Perano | 1031645 | 5 | 10/06/2015 | Customer Dispute | Settled | $284,000.00 | $0.00 | See FINRA Report |
| Richard P Perano | 1031645 | 5 | 01/22/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gilbert Howard Bubis | 2801591 | 1 | 07/05/2013 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| George Robert Register | 373031 | 2 | 04/08/2010 | Customer Dispute | Closed-No Action | $9,300,000.00 | $0.00 | See FINRA Report |
| George Robert Register | 373031 | 2 | 06/30/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard P Perano | 1031645 | 5 | 05/22/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |