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 |
|---|---|---|---|---|---|---|---|---|
| Keith Joseph McGrath | 2280307 | 2 | 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 |
| Ralph Farach Saigh | 2209741 | 2 | 04/20/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chun-Nee Robert Wong | 1048800 | 1 | 04/16/1986 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Zucker | 801580 | 1 | 02/05/1982 | Customer Dispute | Award / Judgment | $30,000.00 | $30,000.00 | See FINRA Report |
| Dennis Barry Mandel | 318425 | 5 | 12/01/1980 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randall Wayne Maguire | 1228631 | 1 | 12/15/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |