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May 15, 2014

Posted  January 26, 2016

The SEC charged New York-based Rafferty Capital Markets with illegally facilitating trades for another firm that wasn’t registered as a broker-dealer as required under the federal securities laws.  Rafferty agreed to settle the SEC’s charges by disgorging all the profits it received in the arrangement plus interest and a penalty for a total of nearly $850,000.  SEC

Tagged in: Regulatory Violations, Securities Fraud,