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Articles Posted in FINRA attorney

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Dawson James Securities Sanctioned Over Alleged Supervisory Failures

The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Dawson James Securities, Inc., (Dawson James) concerning allegations that the firm did not provide for supervision reasonably designed to comply with certain applicable securities laws and regulations. FINRA has stated that at a minimum, written supervisory procedures should describe: (a)…

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FINRA Fines Investors Capital Corp. Over Failing to Supervise ETF Sales

The Financial Industry Regulatory Authority (FINRA) recently fined brokerage firm Investors Capital Corp. (Investors Capital) $100,000 on allegations that from at least about June 2009 through April 2011, Investors Capital failed to provide prospectuses to customers who purchased exchange traded funds (ETFs). FINRA also alleged that Investors Capital also failed…

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