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 |
|---|---|---|---|---|---|---|---|---|
| Taylor Damien Nigro | 1887445 | 1 | 01/01/2018 | Financial | Final | $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 |
| Ivan Luke Griffin | 5514223 | 3 | 08/14/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ivan Luke Griffin | 5514223 | 3 | 04/17/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ivan Luke Griffin | 5514223 | 3 | 03/22/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |