The case stems from a 74-year-old pharmacist who is identified in FINRA documents by her initials, CR, and invested
Rafaloff told CR he invested
Meanwhile, Rafaloff used at least
FINRA said Rafaloff didn’t disclose to Liberty that he was part-owner of an outside company, violating one of the authority’s rules. Liberty terminated Rafaloff in
FINRA ordered that Rafaloff be permanently barred from associating with a FINRA-registered firm.
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