Per a default decision in Disciplinary Proceeding #2012033286901, Stuart Dickinson was barred from any association with a FINRA member in any capacity for selling securities without reasonable grounds for thinking the investments were suitable. Further, he was ordered to pay restitution to six former clients totaling $924,000. Dickinson recommended over $1MM in limited partnership interests to various clients without having “reasonable grounds” to recommend such investments. FINRA alleged that the record showed that he failed to perform an adequate and reasonable investigation and ultimately failed to recognize the limited partnership was a fraudulent enterprise.
Stuart Dickinson’s FINRA BrokerCheck report shows two prior customer complaints of unsuitability that led to settlements in 2012 while employed at WFG Investments Inc.
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