Dawson James Securities, Inc. Fined by FINRA
A Letter of Acceptance, Waiver and Consent (AWC) was issued in which the firm was censured and fined $20,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that its registered representatives called telephone numbers that appeared on the national do-not-call list. The findings stated that the firm required its representatives to use a network that blocked calls to telephone numbers that appeared on the national do-not-call list and the firm’s do-not-call list.
