Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Regan (Regan), previously associated with Nfp Advisor Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Regan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 10, 2025.
Claimants allege an unsuitable recommendation for the purchase of a security.
