Rob Regan – Financial Advisor Rob Regan Suspended from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses
Rob Regan CRD #2322096
From 2005 until 2016, Rob Regan was licensed with NFP Advisor Services, LLC. FINRA brought a disciplinary action against Rob Regan in 2016. Rob Regan consented to a 60-day suspension and a $5,000 monetary fine. FINRA reports that Rob Regan consented to the entry of findings that Rob Regan participated in private securities transaction when Rob Regan’s firm’s customers and one additional individual purchased approximately $350,000 of the stock of a private company.
If you lost any money on investments with Rob Regan, you may be able to recover your losses from NFP Advisor Services, LLC. This is because NFP Advisor Services, LLC had a duty to supervise Rob Regan.
If you lost money on investments with Rob Regan, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against NFP Advisor Services, LLC, concerning Rob Regan’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on any investments with Rob Regan and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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