December 5, 2014-Katy, Texas
Henry McLain Dickinson, III entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between September 2009 and November 2010, Dickinson, through his member firm B.B. Graham & Company, Inc. , charged excessive mark-ups on twelve transactions through improper interpositioning in violation of NASD and FINRA rules.
Dickinson was suspended for twenty days.
B.B. Graham & Company was founded by Bruce Edward Graham and is headquartered in Orange, California.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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