Regal Investment Advisors Fined by SEC Over Durand Capital Partners
John Kailunas (CRD 2048289), Brian Yarch (CRD 4075003), and Regal Investment Advisors were fined by the SEC. This is according to public disclosures made on September 16, 2012.
Important Information about the Fine Involving Regal Investment Advisors
- The SEC alleged that Regal improperly charged advisory fees.
- According to the SEC Regal Investment Advisors also failed to disclose to its advisory clients its financial interest in Durand Capital Partners, LLC.
- The SEC imposed a $50,000 fine.