Dawson James Securities Inc.

08/01/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056290001 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 of FINRA's Code of Procedure, Respondent, Dawson James Securities, Inc. ("Dawson James" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2018056290001data-portal.finra.orgfinra.org

12/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034911601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dawson James Securities, Inc., Respondent CRD No. 130645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dawson James Securities, Inc. ("DJSI") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2012034911601data-portal.finra.orgfinra.org

04/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.28080125468-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Dawson James Securities, Inc., Respondent Broker-Dealer CRD No. 130645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dawson James Securities, Inc., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

Reference 2008012546802data-portal.finra.orgfinra.org

04/06/2021: 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.

Reference 2017052790301finra.orgdata-portal.finra.org

03/24/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072005007803 TO: Department of Enforcement NASD RE: Dawson James Securities, Inc., Respondent Broker-Dealer [CRD No. 130645] Pursuant to Rule 9218 of the NASD Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against it

Reference E072005007803data-portal.finra.orgfinra.org

04/05/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065100701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dawson James Securities, Inc. (Respondent) Member Firm CRD No. 130645 Robert Dawson Keyser Jr. (Respondent) General Securities Representative and General Securities Principal CRD No. 1291503 Pursuant to FINRA Rule 9216, Respondents Dawson James Securities, Inc. and Robert Dawson Keyser Jr. submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondents alleging violations based on the same factual findings described in this AWC.

Reference 2020065100701data-portal.finra.orgfinra.org

08/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20090174432-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Dawson James Securities, Inc. Broker-Dealer CRD No. 130645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dawson James Securities, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2009017443201data-portal.finra.orgfinra.org

02/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO: 2015044393901 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Dawson James Securities. Inc., Respondent Member Firm BD No. 130645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dawson James Securities, Inc. ("Dawson James" or the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

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10/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAWSON JAMES SECURITIES, INC. (BD No. 130645), ALBERT JAMES POLIAK (CRD No. 1270681), DOUGLAS FULTON KAISER (CRD No. 1674570), WILLIAM ARTHUR FOX (CRD No. 1838232), and THOMAS WILLIAMS HANDS (CRD No. 1332915), Respondents Disciplinary Proceeding No. 20090161585 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 7, 2011

Reference 2009016158501data-portal.finra.orgfinra.org