Violation Tracker Individual Record
Company:Rafferty Capital Markets
Date:May 15, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
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:
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