Robert Regan— Failure to Provide Proper Written Notice to His Broker-Dealer

New Orleans investment fraud attorneyRobert Regan Allegedly Participated in Soliciting Three Customers to Invest Approximately $350,000 in an Outside Investment without Proper Prior Notice from NFP

Robert Regan allegedly participating in soliciting three customers to invest approximately $350,000 in an outside investment without providing proper written notice from NFP, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Joe Peiffer and Alan Rosca.

In addition, Robert Regan allegedly issued verbal requests for permission from NFP in order to refer customers to the outside investment before the transactions were granted permission to do so, and his purported participation went beyond the limited scope permitted, the AWC notes.

Peiffer Rosca Wolf securities lawyers are currently investigating Robert Regan and his alleged failure to provide proper prior written notice to his broker-dealer, NFP.

Robert Regan Allegedly Suspended and Fined $5,000 for Allegedly Participating in Outside Investments without Proper Prior Written Notice

Robert Regan, between March and September 2010, and while registered with NFP, allegedly participated in soliciting three customers to invest approximately $350,000 in an outside investment without providing his Firm prior written notice, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Joe Peiffer and Alan Rosca.

As a result, Robert Regan allegedly violated NASD and FINRA Rules, and hence, has been suspended and fined $5,000, the AWC notes.

One should also note that, according to the AWC, Robert Regan neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged failure to provide proper written notice to their broker-dealer. They are currently investigating Robert Regan’s alleged failure to provide proper written notice to their broker-dealer. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Robert Regan’s alleged failure to provide proper written notice to their broker-dealer may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1225 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.