Henry McLain Dickinson III (CRD #727492, Katy, Texas) was suspended by FINRA for 20 business days for allegedly, through his member firm, charging excessive mark-ups on riskless principal corporate bond transactions through improper interpositioning. FINRA's findings stated that this involved the nearly simultaneous purchase from one customer and sale to another customer of the same […]

Florida-based Soreide Law Group, has obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014." Anthony Arthur Grey (CRD #709788, Winter Park, Florida) was fined $30,000, suspended by FINRA for 18 months and is required to disgorge $15,750, plus pre-judgment interest, to FINRA. The National Adjudicatory Council (NAC) affirmed […]