Violation Tracker Individual Record
Company:
Rafferty Capital Markets
Penalty:
$849,626
Year:
2014
Date:
May 15, 2014
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Secondary Offense:
securities issuance or trading violation
Violation Description:
New York-based Rafferty Capital Markets agreed to pay nearly $850,000 to settle allegations that it illegally facilitated trades for another firm that wasn't registered as a broker-dealer as required under the federal securities laws.
Level of Government:
federal
Action Type:
agency action
Agency:
Securities and Exchange Commission
Civil or Criminal Case:
civil
Source of Data:
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
