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 face amount of the same bond in an attempt not to use the actual cost to the firm. Dickinson’s markups resulted in $127,506 in unfair markups. Dickinson’s markups on the transactions were not fair and reasonable taking into consideration all circumstances. In addition, by unnecessarily interpositioning another broker-dealer between transactions, Dickinson failed to obtain the most favorable price possible under prevailing market conditions.
The suspension was in effect from January 5, 2015, through February 2, 2015. (FINRA Case #2011027910401)
Henry Dickinson has been registered in the securities industry for 28 years and is currently registered with the following securities firms:
B.B. GRAHAM & COMPANY, INC. (CRD# 41533)
908 TOWN & COUNTRY BLVD, STE 120, HOUSTON, TX 77024
This ends the summation of information available on FINRA's Disciplinary Actions February 2015.
Soreide Law Group, represents clients nationwide. If you feel your broker or financial advisor has participated in unfair mark-ups or mark-downs, call for a consultation with a securities attorney at no charge, at (888) 760-6552.
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