Have a Claim?

Click here for a confidential contact or call:


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,