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