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surfkast

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Re: dukeb post# 150201

Tuesday, 08/05/2025 11:03:36 AM

Tuesday, August 05, 2025 11:03:36 AM

Post# of 161176
Dawson James Securities, Inc. has faced multiple SEC and FINRA actions, primarily concerning violations related to electronic communications and private placement due diligence. These include fines for failing to preserve and review business-related texts, and for deficient supervisory systems regarding private placements. The firm was also censured and required to hire a consultant to review and improve its procedures. Also suspended its CEO for one month

Florida broker-dealer faces $500k fine over texting violations

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