Replies to post #436 on SMX Security Matters Public Co (SMX)

[dukeb]

The agreement was made between RBW Capital Partners and SMX.

RBW Capital Partners “RBW” is a Division of Dawson James Securities, Inc.

From this 2024 article about Dawson James Securities

https://www.investmentnews.com/independent-broker-dealers/florida-broker-dealer-faces-500k-fine-over-texting-violations/251942

The trend of text messaging compliance failures at investment firms continues as an investigation by Finra finds multiple violations at a Florida broker-dealer.

Dawson James Securities, a Boca Raton, Florida-based firm, and its CEO, Robert Dawson Keyser Jr., have agreed to pay fines to Finra over multiple compliance failures over the past decade, including lapses in preserving business-related text messages and conducting due diligence on private placement offerings.