Daryl Eugene Allison, of Lubbock, Texas, a stockbroker and former president of Caprock Securities, Inc., has been fined $10,000.00 and fined from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity based upon consenting to findings that, inter alia, Allison failed to supervise registered representatives’ closed end fund sales to customers….
Toni L. Robertson, of Lubbrock, Texas, a stockbroker formerly registered with Caprock Securities, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity based upon her failure to respond to FINRA’s request for information concerning her activities. Docket No. 2015046415002 (Oct. 21, 2016). FINRA Public Disclosure reveals…