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.
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