Tagged with "fake invoices"

SEC Bars Connecticut Investment Adviser For Concealing Referral Fee

Posted on February 10th, 2017 at 12:21 PM
SEC Bars Connecticut Investment Adviser For Concealing Referral Fee

The SEC has barred Connecticut investment adviser John W. Rafal for allegedly concealing a referral fee.

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We just wanted to say thanks for your work in helping us get back some of the money we lost. We are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. We really appreciate the work you did.

Allan and Adele

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