Tag Archives: Regal Securities

Regal Securities Fails To Supervise Outside Business Activities

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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