RONALD PAUL RAFALOFF

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ronald Rafaloff (CRD No.1045883), Respondent. DISCIPLINARY PROCEEDING No. 2013036261002 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2011 and November 2012 (the Relevant Period), Respondent Ronald Rafaloff (Rafaloff), a former registered representative associated with Liberty Partners Financial Specialists LLC (Liberty Partners or the Firm)
02/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ronald Rafaloff (CRD No.10458831), Respondent. DISCIPLINARY PROCEEDING No. 2013036261002 HEARING OFFICER - KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 3, 2015 INTRODUCTION Disciplinary Proceeding Number 2013036261002 was filed on June 16, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Ronald Rafaloff
Reference 2013036261002data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1045883

Other names1

Also known as1

Ronald Rafaloff

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