Tag Archives: Regal Securities Inc.

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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Regulator Bars Regal Broker For Unregistered Securities

Raymond Dickie Adcock of Cabot Arizona a stockbroker formerly registered with Regal Securities Inc. has been barred in all capacities by the Arkansas Securities Commissioner supported by consenting to findings that he executed unauthorized liquidations and facilitated customers’ purchases that were not registered by Regal Securities. In the Matter of Raymond Dickie Adcock Case No. […]

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