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.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Phone:
Fax: 1-954-760-6553
Email: [email protected]