Soreide Law Group obtained the following information from FINRA’s Disciplinary Actions January 2017:
Stuart Graham Dickinson (CRD #1047824, Highland Park, Texas)
was barred by FINRA and required to pay $924,000, plus interest, in restitution to clients for allegedly selling securities without reasonable grounds for believing that the investment was suitable for any investor.
FINRA’s findings stated that Dickinson allegedly sold more than $1 million of limited partnership interests in a company whose purported business was to acquire and operate automated teller machines (ATMs) to seven clients while he was associated with his member firm. The company did not own any ATMs. Dickinson’s firm permitted him to sell interests in the company as private securities transactions. Dickinson allegedly recommended the securities without first conducting adequate and reasonable due diligence on the company.
Dickinson allegedly failed to verify or confirm information he obtained from interested parties, and failed to detect multiple red-flag warnings that the company was a fraudulent Ponzi scheme. As a result, the clients lost their entire investments. If Dickinson had conducted a reasonable investigation, he would have recognized red flags indicating that the offering was fraudulent and thus unsuitable for any investors regardless of their wealth, risk tolerance, age or other individual characteristics.
(FINRA Case #2012033286901)
FINRA has permanently barred Stuart Graham Dickinson from acting as a broker or otherwise associating with firms that sell securities to the public. According to FINRA’s BrokerCheck, he was registered in the securities industry for 26 years and was listed with 5 firms, the most recent listed below:
10/27/2005 - 09/25/2013 WFG INVESTMENTS INC. - HIGHLAND PARK, TX
06/28/2005 - 11/04/2005 LINSCO/PRIVATE LEDGER CORP. - BOSTON, MA
If you were a client of Stuart Graham Dickinson formerly with, WFG INVESTMENTS INC. of Highland Park TX, and experienced losses due to his recommendations or actions, call Soreide Law Group for a no-cost consultation with a lawyer regarding the possible recovery of your investment losses at: 888-760-6552.
Soreide Law Group operates on a contingency fee and represents our clients nationwide before FINRA.
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