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Last update: 24 Apr, 2024 
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Last update: 24 Apr, 2024 132 Views
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Dawson James Securities of Boca Raton Fined and Censured
Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $75,000 for alleged supervisory failures relating to research and private offerings and the supervisory failures led to rule violations in both areas. FINRA’s findings stated that Dawson James Securities did not adopt or implement written supervisory
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