Finra has barred former registered representative George Dahl for failure to provide testimony to its staff at a hearing that was looking into his conduct.
In March 2016, the Financial Industry Regulatory Authority Inc. issued a letter of acceptance, waiver and consent through which Mr. Dahl consented to several findings: that he willfully failed to timely amend his Form U4, performed outside business activities for compensation without providing written notice to his firm, executed unauthorized trades in a customer's account, and caused his employer to maintain inaccurate books and records. At the time, Mr. Dahl was suspended from associating with a Finra member firm in any capacity for nine months and fined $20,000.
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Mr. Dahl spent 44 years in the securities industry. He was most recently registered with Revere Securities for a year in 2015. Previous registrations include Newport Coast Securities (2010-14), Wedbush Securities (2007-10), Brookstreet Securities (2006-07), the Seidler Cos. (2005-06), RBC Dain Rauscher (2002-05), Sutro & Co. (1998-2002), Smith Barney (1993-98), Lehman Brothers (1984-93), J. David Securities (1983-84), Bateman Eichler Hill Richards (1981-83), Paine Webber Jackson & Curtis (1975-81) and Dean Witter & Company (1971-75).
He is currently not registered with any firm.
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