FFH Holdings, LLC and John Rallo Ordered to Cease and Desist | Goodman & Nekvasil P.A. May Recover Investor Losses
ACCORDING TO THE STATE OF MISSOURI:
THE COMMISSIONER FURTHER DETERMINES that Respondent FFH Holdings LLC transacted business as an unregistered, non-exempt broker-dealer in the State of Missouri by engaging in the business of effecting transactions in securities for the account of others. At all times relevant to this matter, Respondent FFH Holdings, LLC was not registered as a broker-dealer either with the Securities and Exchange Commission or with the State of Missouri. Respondent FFH Holdings, LLC transacted business in Missouri without being registered or exempt from registration as a broker-dealer in violation of Section 409.4-401(a). Respondent’s conduct in violation of Section 409.4-401(a), constitutes an illegal act, practice, or course of business, and such conduct is, therefore, subject to the Commissioner’s authority under Section 409.6-604. Multiple Violations of Transacting Business as an Unregistered Agent THE COMMISSIONER FURTHER DETERMINES that Respondent Rallo transacted business as an unregistered agent in the State of Missouri.
John Rallo was a representative of FFH Holdings LLC. John Rallo offered and/or sold securities to investors on behalf of FFH Holdings LLC, by, among other things, offering and/or selling investments to the Investors. This activity constitutes transacting business in the State of Missouri under Section 409.1- 102(1). At all times relevant to this matter, John Rallo was not registered as an agent in the State of Missouri. John Rallo transacted business in Missouri by offering and/or selling securities without being registered or exempt from registration as an agent in violation of Section 409.4-402(a). John Rallo’s conduct is in violation of 409.4-402(a) and constitutes an illegal act, practice, or course of business, and such conduct is, therefore, subject to the Commissioner’s authority under Section 409.6-604.
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