The SEC has barred Connecticut investment adviser John W. Rafal for allegedly concealing a referral fee.
Tagged with "Investment Advisor"
Page 1 of 1
SEC Bars Connecticut Investment Adviser For Concealing Referral Fee
Posted on February 10th, 2017 at 12:21 PM
Dupree Financial Group Fined $25,000 and Censured for Compliance Failures
Posted on October 20th, 2016 at 11:36 AM
The SEC has fined and censured Dupree Financial Group, LLC (Dupree Financial) $25,000 for compliance failures.
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.
Page 1 of 1