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 representativesā closed end fund sales to customers. […]
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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