Dallas Richardson York of Phoenix Respondent in FINRA Complaint

“Dallas Richardson York (CRD #6449560, Phoenix, Arizona)

March 6, 2018 – York was named a respondent in a FINRA complaint alleging that he failed to provide information and documents requested by FINRA during the course of an investigation into the circumstances of his termination from his member firm. The complaint alleges that the firm filed a Form U5 terminating York’s registration and reporting that it discharged him after a customer alleged that funds were withdrawn from his bank account without his knowledge or consent, and that a review of the bank records revealed that York debited the customer’s account for the purchase of multiple cashier’s checks made out to cash and subsequently cashed those checks. (FINRA Case #2017056038801)”

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Financial Industry Regulatory Authority, Inc. (FINRA) is an independent, non-governmental regulator who oversees the people and firms that sell stocks, bonds, mutual funds and other securities to the public in the United States. They are authorized by Congress to protect investors. They do this by making sure the securities industry operates fairly and honestly with the public.