Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Schiller (Schiller), previously associated with Regulus Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schiller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on August 08, 2023.
Claimant alleges unsuitable investments in client account made by Sanjay Bhargava and Matthew Schiller in January 2021. Regulus Financial Group finds no fault in Sanjay Bhargava and Mathew Schiller and is pursuing denial of claim in arbitration.