Our Staff has compiled our research into a database of FINRA Broker Disclosures for Regiment Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| David Pope Lancaster | 1954353 | 3 | 04/25/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lerry James Knox | 4838886 | 2 | 02/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Pope Lancaster | 1954353 | 3 | 08/25/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lerry James Knox | 4838886 | 2 | 12/19/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David J Desmond | 5124751 | 1 | 05/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter M Apostol | 7177558 | 1 | 10/01/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Pope Lancaster | 1954353 | 3 | 08/12/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |