Furgison Law Group investigates claims against Robert Joseph Regan

The securities fraud lawyers at Furgison Law Group are currently investigating claims against Robert Joseph Regan and NFP Advisors, LLC. The arbitration specialists at Furgison Law Group are investigating claims involving allegations of selling away, breach of fiduciary duty, failure to supervise, misrepresentations, omissions of material facts, conflict of interests, violations of state and federal securities laws, along with other broker misconduct.

FINRA fined and suspended Robert Joseph Regan for selling away

FINRA assessed Robert Joseph Regan (CRD #2322096, Alamo, California) a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity for 60 days. Regan consented to the sanctions and to the entry of findings that he participated in soliciting customers to invest approximately $350,000 in an outside investment without providing his member firm with prior written notice. The findings stated that although Regan verbally requested permission from the firm to refer customers to the outside investment before the transactions, and was granted permission to do so, Regan’s participation went beyond the limited scope the firm permitted. The suspension is in effect from January 19, 2016, through March 18, 2016. (FINRA Case #2013035916901)

Investors Have the Right to Recover Their Losses

When investments are sold by brokerage firms licensed by FINRA, they are subject to the laws that FINRA enforces. The brokerage firms are responsible for ensuring that their brokers are trading fairly, ethically and in the best interest of their clients. Ideally, they would accomplish this through careful supervision. Unfortunately, too often this supervision has been inadequate to fully protect investors. If you purchased any investments through a representative of a registered brokerage firm and suffered loses through negligence or fraud, it immediately puts the brokerage firm at fault for failing to supervise their broker. FINRA law then dictates that you can hold the firm legally liable to recover your damages.

Can I recover my investment losses?

If you lost a substantial portion of your retirement savings or other assets as a result of investments purchased through Robert Joseph Regan and NFP Advisors, LLC, please contact us immediately. Our investment fraud lawyers have recovered millions of dollars from the largest banks, insurance companies and brokerage firms in the world on behalf of investment fraud victims. You may have certain legal rights that require your immediate attention. Time is of the essence in these claims. The sooner you act, the greater your chances of recovering your investment losses. Don't wait. Contact us TODAY for a FREE Consultation and case evaluation. We will tell you if you have a viable claim worth pursuing.