The SEC has barred Connecticut investment adviser John W. Rafal for allegedly concealing a referral fee.
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The SEC has barred Connecticut investment adviser John W. Rafal for allegedly concealing a referral fee.
The SEC has fined and censured Dupree Financial Group, LLC (Dupree Financial) $25,000 for compliance failures.
FINRA accused James O. Maloney, a former broker from Metlife Securities, Inc of outside business activities.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.
The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.
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