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FINRA Hits BD With $500k Fine Over Texting
News April 08, 2024 at 09:59 AM
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What You Need To Know
- FINRA levied a $500,000 fine against Dawson James and suspended its CEO for failing to preserve and review over 10,900 business-related text messages.
- The firm's CEO used his firm-issued mobile phone to send and receive approximately 4,400 business-related text messages.
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