2020065100701 Dawson James Securities, Inc., CRD 130645 and Robert Dawson Keyser Jr. CRD 1291503 AWC gg (2024-1715041194841).pdf
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.
2021069335701 Robert Spaulding Gleason Jr. CRD 1415067 AWC lp (2024-1714954813535).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021069335701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Robert Spaulding Gleason Jr. (Respondent)
Former General Securities Representative
CRD No. 1415067
Pursuant to FINRA Rule 9216, Respondent Robert Spaulding Gleason Jr. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023079717201 Sanford Cohen CRD 1509386 AWC vr (2024-1714954813801).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079717201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Sanford Cohen (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 1509386
Pursuant to FINRA Rule 9216, Respondent Sanford Cohen submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2021070734301 Beliveau Bays CRD 6034987 OHO Decision df (2024-1714954813448).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS
DEPARTMENT OF ENFORCEMENT,
Complainant,
v.
BELIVEAU BAYS
(CRD No. 6034987),
Respondent.
Disciplinary Proceeding
No.