Tag Archives: Caprock Securities Inc.

Caprock President Fined For Supervisory Failures

January 03, 2017  |   Posted by :   |   Closed End Funds, Failure To Supervise, Investment and Regulatory News   |   Comments Off on Caprock President Fined For Supervisory Failures

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. […]

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Caprock Securities Stockbroker Barred In Investigation

November 30, 2016  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on Caprock Securities Stockbroker Barred In Investigation

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 […]

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