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Tagged with "Investment Advisor"

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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Dupree Financial Group Fined $25,000 and Censured for Compliance Failures

Posted on October 20th, 2016 at 11:36 AM
Dupree Financial Group Fined $25,000 and Censured for Compliance Failures

The SEC has fined and censured Dupree Financial Group, LLC (Dupree Financial) $25,000 for compliance failures. 

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Former Broker Accused of Outside Business Activities

Posted on February 13th, 2015 at 2:20 PM

FINRA accused James O. Maloney, a former broker from Metlife Securities, Inc of outside business activities.  

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Latest Articles
Morgan Stanley Files Lawsuit Against $6 Million Team
January 14th, 2021 at 3:57 PM
FINRA Proposes Rule to Regulate “Restricted” Firms
January 13th, 2021 at 4:05 PM
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