Tag Archives: Daryl Eugene Allison

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 representativesā€™ closed end fund sales to customers. […]

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