STUART GRAHAM DICKINSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Stuart G. Dickinson (CRD No. 1047824) and Trent W. Schneiter (CRD No. 3175324), Respondents. DISCIPLINARY PROCEEDING No. 2012033286901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between October 2007 and December 2007, and while associated with FINRA member firm WFG Investments, Inc. ("WFG"), Respondent Stuart G. Dickinson sold limited partnership interests in ATMA, LP
10/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. STUART G. DICKINSON (CRD No. 1047824), Respondent. Disciplinary Proceeding No. 2012033286901 Hearing Officer-LOM DEFAULT DECISION October 21, 2016 Respondent is barred in all capacities for selling securities without reasonable grounds for believing that the investment was suitable for any investor. He is also ordered to pay restitution to six customers. Appearances For the Complainant:
Reference 2012033286901finra.org data-portal.finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1047824

Other names1

Also known as1

Stuart G. Dickinson

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