Regal Securities, a broker-dealer headquartered in Glenview, Illinois, has been censured and fined $25,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm failed to supervise the evaluation and authorization of outside business activities. Letter of Acceptance, Waiver and Consent, No. 2015043657202 (Dec. 21, 2016). According to the AWC, in […]
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Tag Archives: Regal Securities
Regal Securities Fails To Supervise Outside Business Activities
January 13, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments