Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.”
Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida)
was censured and fined $12,500. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it sold (or bought) corporate bonds to (or from) customers and failed to sell (or buy) such bonds at a price that was fair, taking into consideration all relevant circumstances, including market conditions with respect to each bond at the time of the transaction, the expense involved and that the firm was entitled to a profit.
FINRA's findings stated that in transactions in Trade Reporting and Compliance Engine® (TRACE®)-eligible securities for or with customers, the firm failed to use reasonable diligence to ascertain the best inter- dealer market and failed to buy or sell in such market so that the resultant price to its customers were as favorable as possible under prevailing market conditions.
(FINRA Case #2009017443201)
This ends the summation of information obtained on FINRA’s website.
The Soreide Law Group represent clients nationwide. Call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses at: 888-760-6552.
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