FINRA Fines Broker-Dealer, CEO In Text Messaging Action

[Gunnar Larson]

FINRA Fines Broker-Dealer, CEO In Text Messaging Action
<https://www.law360.com/compliance/articles/1822998?nl_pk=ab5ce197-c1fb-4d8e-a411-413bce38e654&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2024-04-09&read_main=1&nlsidx=0&nlaidx=7>

By Sarah Jarvis

Dawson James Securities Inc. and its CEO have agreed to pay the Financial
Industry Regulatory Authority a combined $510,000 to end the broker
watchdog's allegations that the firm failed to review thousands of
business-related text messages and had an inadequate supervisory system.

 Letter attached | Read full article »
<https://www.law360.com/compliance/articles/1822998?nl_pk=ab5ce197-c1fb-4d8e-a411-413bce38e654&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2024-04-09&read_more=1&nlsidx=0&nlaidx=7>
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