Robert P. Allen of Augusta Georgia a stockbroker formerly registered with Country Capital Management Company has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in unapproved outside business activities. Letter of Acceptance Waiver and Consent No. […]
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Tag Archives: Robert P. Allen
FINRA Sanctions Country Capital Management Stockbroker
December 18, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments