Tag Archives: Toni L. Robertson

Caprock Securities Stockbroker Barred In Investigation

November 30, 2016  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Toni L. Robertson, of Lubbrock, Texas, a stockbroker formerly registered with Caprock Securities, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity based upon her failure to respond to FINRA’s request for information concerning her activities. Docket No. 2015046415002 (Oct. 21, 2016). FINRA Public Disclosure reveals […]

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