Dawn Bennett, of Washington, District of Columbia, a stockbroker formerly associated with Western International Securities, has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Bennett failed to cooperate in a FINRA investigation into allegations that she potentially engaged in unauthorized private securities transactions or selling away, committed […]
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Tag Archives: Dawn Bennett
Western International Securities Stockbroker Charged In Investigation
November 29, 2016 | Posted by : Guiliano Law Group | Investment and Regulatory News, Promissory Notes, Selling Away and Outside Activities | 0 Comments
Bennett Group Charged with Federal Securities Fraud
September 11, 2015 | Posted by : Guiliano Law Group | Churning, Investment and Regulatory News, Securities Fraud, Unauthorized Trading, Unsuitable Investment Recommendations | 0 Comments
The Securities and Exchange Commission brought an action against Bennett Group and its founder Dawn J. Bennett for federal securities fraud. Bennett and most employee associated with the Bennett Group are registered representatives of with Western International Securities, Inc. According to the SEC’s allegations, Bennett, made material misstatements and omissions regarding assets that were purportedly […]
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