Last Updated: October 2023 (Daytona Beach, FLA)
Russell Thompson Investigation Summary
Here’s what you need to know about Daytona Beach, FL , stockbroker Russell Thompson:
- Name: Mr. Russell Lee Thompson
- Current Employer: Regulus Financial Group LLC , Regal Investment Advisors (RIA), dba H&R Insurance and Financial Services
- Previous Firms: Pruco Securities, W&S Brokerage Services
- Function: Stock Broker/ Financial Advisor/Registered Investment Advisor
- Aliases: Russell Thompson
- Primary Location: Daytona Beach, FL
- CRD
- Can Russell Thompson be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement: $26,406
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Russell Thompson As Your Stockbroker?
In 4/2022 a customer of Pruco Securities was paid $26,406 to resolve a complaint that Russell Thompson did not fully disclose all the facts regarding surrender charges and improper application handling in connection with insurance.
Allegations of Broker Misconduct Against Russell Thompson
Customers of Russell Thompson have alleged the following wrongdoing in connection with the handling of customer accounts:
- Failed to disclose all the facts regarding surrender charges on insurance purchase
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Russell Thompson, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
