Lloyd Henry Dotson, of New Canaan, Connecticut, a stockbroker formerly registered with Commonwealth Financial Network, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into allegations that he engaged in outside business activities without […]
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Tag Archives: Lloyd Henry Dotson
Commonwealth Financial Network Stockbroker Barred
April 11, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments