Broker Barred for Non-Compliance with FINRA Rules

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Broker Barred for Non-Compliance with FINRA Rules

Henry Al Dean Watson, a former Hillard Lyons broker, was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in unauthorized trades and excessive trading. Watson recently settled a customer claim relating to those allegations. Watson refused to testify in the regulatory proceeding against him.

By |2019-12-24T11:02:07-05:00May 2nd, 2017|Securities|0 Comments

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