Securities Lawyers Blog
The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Regulus Financial Group, LLC. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.
Regulus Financial Group is a securities broker-dealer. The firm was formed in Michigan in 2008.
Regulus Financial Group, LLC – By the Numbers:
- CRD #: 150631
- Regulatory Events: 5
- Broker Employees: 118
Regulus Financial Group, LLC – In the News:
FINRA v. Regulus Financial Group, LLC (Case #2023077077001) – From May 22, 2021, to February 6, 2024, Regulus did not disclose its own and its control affiliate’s disciplinary history in the firm’s customer relationship summary (Form CRS). By filing and delivering to customers a Form CRS that omitted required information, Regulus willfully violated Section 17(a)(1) of the Securities Exchange Act of 1934 and Exchange Act Rule 17a-14, and violated FINRA Rule 2010 and is fined $20,000.
Gana Weinstein LLP has successfully litigated broker disputes through verdict or settlement. We represent both individuals and institutions throughout the country in FINRA arbitration, as well as commercial litigation in state and federal courts. Our consultations are both free and thorough and our securities litigation attorneys can help you uncover wrongful activity in your account.