Articles Tagged with John Regan

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John Regan, a registered representative formerly employed with Guggenheim Securities, LLC, has been permanently barred by the Financial Industry Regulatory Authority (FINRA) amid findings that he converted funds for his personal use.

According to FINRA, John Emmett Regan, of New York, New York, converted approximately $25,000 in firm funds between September 2012 and March 2014.  Mr. Regan allegedly falsely submitted approximately 90 personal expenses for reimbursement as business expenses.  Conversion of funds is a violation of FINRA Rule 2010.  Conversion is the intentional and unauthorized taking of ownership over property by one who neither owns the property nor is entitled to have it.  Without admitting or denying FINRA’s findings, Mr. Regan was permanently barred from association with any FINRA member in any capacity. Continue reading →