Tag Archives: Douglas Eric Dial

Regal Discharges Stockbroker For Failure To Comply

May 31, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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