- 2007
Respondent was employed at John Dawson & Associates, a broker-dealer registered with the Commission, as its Director of Special Projects and a Managing Director. His responsibilities included providing technical support to JDAI employees, servicing computer and network systems used by JDAI’s trading operations, serving as a liaison with JDAI’s technical vendors and acting as an assistant to JDAI’s largest producing broker. He obstructed an SEC investigation into the firm and accordingly was barred from the industry (and criminally convicted).
