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Caprock President Fined For Supervisory Failures

January 03, 2017 | Posted by : Guiliano Law Group | Closed End Funds, Failure To Supervise, Investment and Regulatory News | 0 Comments

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 President Fined For Supervisory Failures

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