Advisor Overview: Nir Regev in Saint Louis, MO
| Name | Nir Regev (also known as Nir Regev Kragnes) |
| CRD Number | 1847410 |
| Broker-Dealer | DFPG Investments, LLC (FINRA BrokerCheck) |
| Investment Adviser | Diversify Advisory Services, LLC |
| Office Location | Saint Louis, Missouri |
| Insurance Business | Nir Regev Insurance (Life/Annuities) |
| Licenses & Qualifications | Series 7, SIE, Series 63, Series 65 (Registered in multiple states/territories) |
Haselkorn & Thibaut is actively looking into potential customer losses related to the handling of investments by Mr. Regev. With over 50 years of cumulative experience, a 98% success rate, and a nationwide presence—including support for clients in Missouri—our firm offers free, confidential case evaluations if you believe you have experienced losses.
Red Flags & Concerns: Complaints and Disclosures Involving Nir Regev
When assessing a financial advisor, it is essential to review any disclosures of customer complaints, arbitration awards, settlements, or regulatory actions. The following facts and events have been identified based on the latest available regulatory data and public records:
-
2023 Customer Complaint – Case Settled
Nature of Allegation: A client claimed that certain real-estate securities recommended by Mr. Regev were both illiquid and unsuitable for their risk profile and objectives. The matter settled for $278,680, paid by Mr. Regev individually. -
2019 FINRA Arbitration Award (Case No. 19-00219)
Nature of Allegation: A customer alleged “unsuitability” and “breach of fiduciary duty” in connection with the recommendation of an income rider. The arbitrators ordered $4,999 in compensatory damages and $600 reimbursement of filing fees to the client.
What Does This Mean for Investors?
Suitability and unsuitability claims are significant in the regulatory world. Such complaints generally allege that investments recommended by the advisor did not align with the client’s objectives, risk tolerance, or investment time horizon. These claims are governed by FINRA Rule 2111 and, from June 2020 onward, the SEC’s Regulation Best Interest. They highlight the importance of personalized advice in investment recommendations, and also stress the advisor’s legal and ethical obligations.
Summary of Complaint & Regulatory History
| Date | Case/Event | Allegation | Resolution |
|---|---|---|---|
| 2023 | Customer Complaint | Unsuitable and illiquid real-estate securities | Settled for $278,680 (paid by Regev) |
| 2019 | FINRA Arbitration No. 19-00219 | Unsuitability; breach of fiduciary duty related to income rider | Awarded $4,999 damages + $600 costs |
- No SEC enforcement actions, cease-and-desist orders, or regulatory sanctions specific to Nir Regev as of the latest public data.
- No bankruptcy filings or known civil/criminal litigation.
Red Flags for Investors to Consider:
- History of suitability-related claims, settlements, and arbitration awards.
- Product concerns regarding non-traditional investments (such as real-estate securities and income riders) that may be illiquid or higher-risk for some investors.
- The size of settlement in 2023 ($278,680) suggests substantial customer losses were involved.
Haselkorn & Thibaut’s Guidance for Current and Former Clients of Nir Regev (DFPG Investments, Saint Louis, MO)
- Review your account statements for complex, illiquid, or non-traded investments.
- Assess whether securities were recommended to you in line with your stated investment goals or risk profile.
- Gather all relevant communications, disclosure statements, and agreements relating to your relationship with Nir Regev or DFPG Investments.
- If you suspect your investments were misrepresented or not suitable, act promptly—deadlines may apply for filing complaints or arbitration claims.
- Contact Haselkorn & Thibaut for a free consultation. Call 1-888-994-8066 or visit investmentfraudlawyers.com to confidentially discuss your specific situation.
Why Choose Haselkorn & Thibaut?
- Nationally recognized investment fraud law firm with over 50 years of experience representing individual and institutional investors.
- 98% success rate and millions recovered for clients, with cases often conducted on a no recovery, no fee basis.
- Unparalleled experience with FINRA arbitration, customer complaint resolution and investor advocacy.
Your Next Step
If you have concerns about your investments or the advice you received from Nir Regev (DFPG Investments, LLC, Saint Louis, MO), do not wait. Free, confidential consultations are available now—there is no obligation and no fee unless we recover on your behalf. Call Haselkorn & Thibaut at 1-888-994-8066 to discuss your options for recovery, or visit our website to learn more.
Protect your investments and your future. Take control today with Haselkorn & Thibaut—your partner in investment loss recovery.
