FINRA Fines Broker-Dealer, CEO In Text Messaging Action

By Sarah Jarvis (April 8, 2024, 5:03 PM EDT) -- 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....

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