District of Massachusetts - United States Department of Justice
Apr 20, 2017 · John William Rafal, 67, the former president of a financial services company in Connecticut, was sentenced by U.S. District Court Judge Nathaniel M. Gorton to one year of …
SEC Bars John Rafal, Former Top Barron’s Connecticut Broker
Jan 10, 2017 · John Rafal, the founder and former CEO of Essex Financial Services in Essex, Conn., agreed to the permanent industry bar and a $575,000 penalty as part of a settlement …
John W. Rafal-Essex Financial Former President/CEO-Sentenced
May 2, 2017 · The U.S. Attorney’s Office for the District of Massachusetts announced in a press release that John William Rafal, 67, the former president and chief executive of Essex …
Connecticut Financial Advisor Agrees to Plead Guilty to …
Jan 9, 2017 · John William Rafal, 66, the former president of a financial services company in Connecticut, was charged today with obstructing the SEC’s investigation. U.S. District Court …
Apr 20, 2017 · John William Rafal, 67, the former president of a financial services company in Connecticut, was sentenced by U.S. District Court Judge Nathaniel M. Gorton to one year of …
John Rafal is the former President and CEO of Essex Financial Services, Inc. (“Essex”), a dually-registered investment adviser and broker-dealer based in Essex, Connecticut.
John Rafal; Essex Financial Services - Stoltmann Law
Sep 12, 2016 · Last month, the state of Connecticut Department of Banking issued a cease-and-desist order against John Rafal, founder and former chief executive of Essex Financial …
Rafal John CDNOIRNOIF - CT.gov
Rafal was the founder, President and Chief Executive Officer of Essex Financial Services, Inc. (CRD No. 127549) (“EFS”), located at 176 Westbrook Road, Essex, Connecticut 06426, from …
John Rafal - Forbes
I am the founder of Essex Financial Services, a Connecticut wealth management firm with more than $3.9 billion in assets under management. I have more than 30 years of experience in...
Investment Adviser, Lawyer Settle Charges in Secret Referral Fee …
According to the SEC’s order against John W. Rafal, he secretly paid a lawyer for referring a legal client’s large account to Essex Financial Services, an investment advisory firm Rafal founded.
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