FINRA has Barred Dallas Richardson York of Phoenix

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

April 16, 2018 – An Offer of Settlement was issued in which York was barred from association with any FINRA member in all capacities. Without admitting or denying the allegations, York consented to the sanction and to the entry of findings that he failed to provide information and documents requested by FINRA in connection with an investigation into the circumstances of his termination from his member firm. The findings stated that the firm filed a Form U5 terminating York’s registration and reported that it discharged him after a customer alleged that funds were withdrawn from his bank account without his knowledge or consent, and that a review of the bank records revealed that York debited the customer’s account for the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)”



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.