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 |
|---|---|---|---|---|---|---|---|---|
| James Francis Madigan | 2319930 | 1 | 02/07/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dennis Barry Mandel | 318425 | 5 | 12/01/1980 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |