Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida)
was censured, fined $75,000, and required by FINRA to revise its Written Supervisory Procedures (WSPs). According to the FINRA report, Dawson James Securities WSPs allegedly failed to provide for one or more of the four minimum requirements for adequate WSPs in several subject areas required.
FINRA's findings stated that Dawson James Securities allegedly failed to alert to many "red flags" relating to one of their registered representative’s activities and failed to enforce its WSPs. One of the Written Supervisory Procedures specified that all electronic correspondence would be reviewed daily. Dawson James Securities also allegedly failed to make sure that its head trader was carrying out his supervisory responsibilities. (FINRA Case #2008012546802)
If you feel your stock account was inappropriately handled, or that the supervisory procedure in your brokerage was inadequate, Fort Lauderdale-based Soreide Law Group offers a free consultation and portfolio analysis to determine if you have legal grounds to pursue a FINRA arbitration. To speak with a lawyer call (888) 760-6552.
William Kershaw was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/15/2026. William Kershaw was registered as a broker with NYLIFE SECURITIES LLC of Charlotte, North Carolina from 12/16/2024 - 07/17/2025. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, […]
Michael S Barrows (Michael Scott Barrows) has been suspended by FINRA indefinitely with the start date of 3/27/2026. The Regulator’s Statement was, “Pursuant to FINRA Rule 9553, Respondent Barrows' registration with FINRA is suspended on March 27, 2026, for failure to pay arbitration fees.” Barrows is registered as a broker with INNOVATION PARTNERS LLC of […]
Investors apparently complained about securities broker Thaddeus Michael Eubanks [CRD: 5888014, Yuba City, California], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. FINRA BrokerCheck reflects that Eubanks was registered with Edward Jones in Yuba City, California for more than a decade before his association with the firm ended in 2026. Keep reading […]
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