Investigation: Henry Dean Watson, former broker at Hilliard Lyons

The Sonn Law Group is investigating claims related to former Hilliard Lyons broker Henry Dean Watson (FINRA CRD#: 1326969). On January 17_th, 2017 Henry Dean Watson was permanently barred by FINRA.

Watson received a customer complaint back in September of 2015, his client alleging excessive trading and commissions, unauthorized trades and portfolio mismanagement.

Watson earned a customer complaint again in October of 2016. This time the client alleged that Watson purchased shares of a security without authorization. This week FINRA took action and barred Watson who violated industry rules when he failed to appear for testimony before the industry regulator.

If you’ve invested your money with Henry Dean Watson and suffered significant losses because of his wrongful actions, Sonn Law Group is interested in hearing from you to discuss possible legal remedies. Call us now at 305.912.3000 or fill out our short contact form to speak with a legal representative from our firm about your experience with Henry Dean Watson.

Here are the complete details of FINRA’s disciplinary actions against Henry Dean Watson on its website:

Initiated By – FINRA

Allegations

Without admitting or denying the findings, Watson consented to the sanction and to the entry of findings that he failed to appear for testimony as requested by FINRA.

The findings stated that FINRA sent a request to Watson, through counsel, for on-the-record testimony. The testimony was requested in connection with an inquiry into an arbitration claim filed by a customer against Watson. As stated in his counsel’s email to FINRA, and by this agreement, Watson acknowledges that he received FINRA’s request and will not appear for on-the-record testimony at any time.

Resolution
Acceptance, Waiver & Consent (AWC)

Sanctions
Bar

Duration
20 months