Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2017 indicate that former New York-based FBN Securities broker John Regan has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Regan (CRD# 5143728).
John Regan has spent eight years in the securities industry and was most recently registered with FBN Securities in New York, New York (2014-2016). Previous registrations include Guggenheim Securities in New York, New York; Ticonderoga Securities in New York, New York; Collins Stewart LLC in New York, New York; and RBC Professional Trader Group in New York, New York. He is currently not registered with any state or firm.
According to his BrokerCheck report, John Regan has been sanctioned by FINRA ad was discharged from a former employer.
In June 2017 FINRA sanctioned John Regan following allegations he “converted approximately $25,000 of his member firm’s funds, through his submission of false expense reports.” FINRA’s findings state further that he “submitted approximately 90 personal expenses for reimbursement by the firm that he intentionally mischaracterized as business-related expenses.” He was consequently barred from acting as a broker or otherwise associating with firms that sell securities to the public.
In 2014 he was terminated from his position at Guggenheim Securities following allegations involving “material discrepancies in [his] T&E expenses.”
If you have lost money investing with John Regan, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.