SEC RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act

SEC Releases | RIA Charged with Violation of Section 206(2) and Section 206(4) of the Advisers Act

Regal Investment Advisors, LLC (“Regal”) failed to provide advisory services to certain clients after their investment advisor representative left Regal and failed to disclose conflicts of interest arising from compensation received from an affiliated portfolio management in violation of Section 206(2) and Section 206(4) of the Advisers Act. This occurred until July 2021.

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