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Source: InvestmentNews
Dawson James Securities: Florida broker-dealer faces $500k fine over texting violations
Finra finds years of compliance shortfalls at a Florida broker-dealer involving more than 10,000 text messages, including inadequate system for private placements.
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Followers on Owler
7
Est. Annual Revenue
$5.0-25M
Est. Employees
25-100
CEO
Robert D Keyser
CEO Approval Rating
70/100
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