SR-FINRA-2021-006

Rule Filing Status Report:  Filed for Immediate Effectiveness

Rule change to extend the expiration date of the temporary amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 from April 30, 2021, to August 31, 2021.

2017052790301 Dawson James Securities, Inc. CRD 130645 AWC va (2021-1620346802970).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052790301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dawson James Securities, Inc. (Respondent) Member Firm CRD No. 130645 Pursuant to FINRA Rule 9216, Respondent Dawson James Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065453101 Paul Tadashi Inouye CRD 1944879 AWC DM (2021-1620346801573).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065453101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Tadashi Inouye (Respondent) Former General Securities Representative CRD No. 1944879 Pursuant to FINRA Rule 9216, Respondent Paul Tadashi Inouye submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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