Our Staff has compiled our research into a database of FINRA Broker Disclosures for Regal Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Steven Mark Grabarczyk | 1827322 | 4 | 11/04/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jeremy Aaron Engelbrecht | 3277607 | 1 | 05/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Joseph McGrath | 2280307 | 2 | 06/17/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis Madigan | 2319930 | 1 | 02/07/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Dean Thomas | 2110140 | 1 | 08/08/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph William Rutkowski | 2232900 | 2 | 07/05/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jeffry Scott Livingston | 2812480 | 4 | 06/18/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Scott Kendall Branson | 2251962 | 1 | 08/31/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Mark Grabarczyk | 1827322 | 4 | 10/09/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Mark Grabarczyk | 1827322 | 4 | 12/21/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |