Dupree Financial Group Fined $25,000 and Censured for Compliance Failures

Dupree Financial Group Fined $25,000 and Censured for Compliance Failures Posted on Thursday, October 20, 2016 at 11:36 AM From the Desk of Jim Eccleston at Eccleston Law LLC: The SEC has fined and censured Dupree Financial Group, LLC (Dupree Financial) $25,000 for compliance failures. According to the SEC, Dupree Financial, a registered investment advisor, failed to condu ...Read the full article