The PAUSE Program lists entities that falsely claim to be registered, licensed, and/or located in the United States in their solicitation of investors. The PAUSE Program also lists entities that impersonate genuine U.S. registered securities firms as well as fictitious regulators, governmental agencies, or international organizations.
Regency Group Inc.
[ Impersonators of Genuine Firms ]
99 Wall Street, 12th Floor
New York, NY 10005
July 25, 2019
- Regency Group Inc. is impersonating a formerly registered broker-dealer firm with the same name and address - The Regency Group, Inc. (CRD Number: 45216; SEC Number: 8-50995). The impersonator has NO connection with, and is not to be confused with, the genuine Regency Group, Inc., which had its registration with the SEC cancelled on October 9, 2003 and is defunct.