Soreide Law Group represents clients nationwide before FINRA on a contingency fee basis.  We are conveniently based in Pompano Beach, Florida, for all of our South Florida clients.  The following information regarding a South Florida brokerage firm, was obtained from the April 2017 Disciplinary Report on FINRA’s website: Dawson James Securities, Inc. (CRD #130645, Boca […]

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 […]