Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions January 2017.” (FINRA issued the following complaint, and the issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not […]

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 […]