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 |
|---|---|---|---|---|---|---|---|---|
| Jeffry Scott Livingston | 2812480 | 4 | 06/05/2006 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Patricia Ann Hulbert | 1793732 | 1 | 10/15/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis Barry Mandel | 318425 | 5 | 04/08/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dennis Barry Mandel | 318425 | 5 | 05/21/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Joseph William Rutkowski | 2232900 | 2 | 05/16/2001 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Jeffry Scott Livingston | 2812480 | 4 | 04/24/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dennis Barry Mandel | 318425 | 5 | 12/29/1998 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jeffry Scott Livingston | 2812480 | 4 | 09/29/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Joseph McGrath | 2280307 | 1 | 01/13/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Barry Mandel | 318425 | 5 | 11/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |