Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sanjay Bhargava (Bhargava), previously associated with Regulus Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bhargava 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 in January 2021. Regulus Financial Group finds no fault in Sanjay Bhargava and is pursuing denial of claim in arbitration.