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Dawson James Securities Fined by FINRA Over Bond Transactions

Dawson James Securities Fined by FINRA Over Bond Transactions 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness of the U.S. capital markets.

All stockbrokers and broker dealers (brokerage firms) are required to be licensed by and subject to the rules and regulations of FINRA. Each month FINRA publishes disciplinary actions against brokers and broker dealers. Discipline can range from monetary fines and suspensions, or in extreme cases, revocation of licensing and a bar from the securities industry.

See the FINRA website for current and historical disciplinary actions as well as the complete FINRA report on Dawson James.

OCTOBER 2013
 
Dawson James Securities, Inc. of Boca Raton, FL, was
 fined$12,500 and censured by FINRA for bond transactions
with customers that were deemed unfair to customers. For
full details visit the FINRA disciplinary action website.
If you have questions about investment losses or the way your brokerage account has been handled, please contact us to discuss your legal rights.
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