Florida-based Soreide Law Group has obtained the following summation of information from FINRA's Website under "Disciplinary and Other FINRA Actions February 2015." Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $30,000 for allegedly failing to establish and implement an adequate system to determine whether a former registrant’s disclosed outside business […]

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 […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $12,500. Without admitting or denying the findings, the firm consented to the described sanctions and to […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $12,500. Without admitting or denying the findings, the firm consented to the described sanctions and to […]