Web18 mrt. 2024 · Under federal securities law and securities industry regulations, registered investment firms have a legal duty to supervise their financial advisors. Section 15(b)(4)(E) of the Securities and Exchange Act of 1934 makes a securities firm liable for the conduct of representatives. KERN, SUSLOW SECURITIES, INC. Web1 feb. 2012 · Founded in 1946, R.F. Lafferty & Co. is a leading boutique securities firm with Retail and Institutional Sales, Research, Investment Banking, Wealth Management and Market Making. The firm is registered with the Financial Industry Regulatory Authority (FINRA) and is a member of the Securities Investor Protection Corporation (SIPC).
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