HENRY AL DEAN WATSON (aka: DEAN WATSON, HENRY DEAN WATSON) CRD#: 1326969
former broker with Hilliard Lyons, was barred by the Financial Industry Regulatory Authority Inc. (FINRA) on Janurary 17, 2017, when he failed to appear for testimony before FINRA. Watson recently settled a client complaint alleging excessive trading and commissions, unauthorized trading, and portfolio mismanagement.
Watson began his career in the securities industry in 1984 and was associated with seven firms before joining Hilliard Lyons in January of 2012. He was employed with Hilliard Lyons until October of 2016 and is not currently licensed with any other firms.
According to a report on FINRA’s BrokerCheck, HENRY AL DEAN WATSON made absolutely no contribution in a $166,500 arbitration award from 2015. A client of Watson’s alleged excessive trading and commissions, unauthorized trading, and portfolio mismanagement.
FINRA has permanently barred HENRY AL DEAN WATSON from acting as a broker or otherwise associating with firms that sell securities to the public. According to FINRA’s BrokerCheck, HENRY AL DEAN WATSON had been registered in the securities industry for 31 years with 8 different firms, the most recent of which are listed below:
01/26/2012 - 10/12/2016 J.J.B. HILLIARD, W.L. LYONS, LLC - GREENVILLE, SC
08/21/2001 - 02/08/2012 SCOTT & STRINGFELLOW, LLC - GREENVILLE, SC
09/08/2000 - 12/07/2000 EDGAR M. NORRIS & CO., INC. - GREENSVILLE, SC
01/01/1998 - 09/12/2000 BANC OF AMERICA INVESTMENT SERVICES, INC. - BOSTON, MA
If you were a client of former J.J.B. HILLIARD, W.L. LYONS, LLC broker, HENRY AL DEAN WATSON and experienced losses due to his actions or recommendations, call Soreide Law Group and speak to a lawyer at no cost regarding the possibility of recovering your investment at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA and we operate on a contingency basis.
