Robert Philip DePalo, of Greenwich, Connecticut, a former chief executive officer of McBarron Capital, LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that DePalo failed to provide a response to FINRA pursuant to an information request. Letter No. 2015044211102 (Aug. 4, 2016). […]
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Tag Archives: McBarron Capital LLC
McBarron Capital LLC CEO Officer Barred By Regulator
April 11, 2017 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments
McBarron Capital Charged With Failure To Supervise Private Placements
November 02, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Private Placement Fraud | 0 Comments
McBarron Capital LLC, a broker-dealer headquartered in Greenwich, Connecticut, was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that the firm failed to supervise suitability determinations pertaining to private placement investments. Department of Enforcement v. McBarron Capital LLC, No. 2015044211103 (Oct. 25, 2016). According to the Complaint, between January of 2011 and […]
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