Carlos Dawkins aka Andy Dawkins (CRD #5340915, Registered Representative,
submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting
or denying the findings, Dawkins consented to the described sanction and to the entry of findings that he improperly shared confidential customer information with an individual who was not associated with his member firm’s affiliate bank.
FINRA’s findings stated that the individual identified numerous accounts of the bank to Dawkins, and Dawkins told him which of those accounts contained fraud alerts. Using the information Dawkins provided,the individual was able to effect a variety of counterfeit transactions in particular accounts that did not have fraud alerts in multiple branches of the bank. Some customers lost a total of $79,472 because of this fraudulent scheme.
(FINRA Case #2010024989201)
This information was obtained on FINRA’s website listed under “Disciplinary and Other FINRA Actions, September, 2012.”
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, represents clients nationwide. For a free consultation on how to potentially recover your losses call: 888-760-6552, or you may visit our website and complete the online form at: https://www.securitieslawyer.com.