Douglas Eric Dial of Orlando Florida a stockbroker employed by Regal Securities Inc. has been discharged on March 13, 2018 supported by accusations that Dial failed to abide by procedures adopted by the firm.
FINRA Public Disclosure additionally reveals that Dial has been referenced in a customer initiated investment related complaint in which the customer sought more than $5,000.00 in estimated damages based upon allegations that misrepresentations had been made to the customer concerning the firm’s ability to hold certain securities, and trades had been placed in the customer’s investment account contrary to the instructions that the customer set forth.
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Guiliano Law Group
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